Insights by Tag:

Complex products

Regulation
MAS revamps product information documents, targets complex products

02 Jul 2025

MAS revamps product information documents, targets complex products

Singapore's financial regulator aims to highlight the key product features on the first page of the proposed product highlight sheets.

Regulation
Germany: half of investors don’t understand structured investment products

18 Jun 2025

Germany: half of investors don’t understand structured investment products

The regulator has flagged inconsistent cost disclosures, potentially making it harder for clients to compare investment products.

Market
France: product governance key to sustainable market

28 May 2025

France: product governance key to sustainable market

The discussion on the key drivers of growth for structured products in the life insurance space in France.

Regulation
US regulator fines broker-dealer for mis-selling structured notes

16 Oct 2024

US regulator fines broker-dealer for mis-selling structured notes

Stifel ordered to pay US$14.2m in Finra arbitration over failure to supervise recommendations of structured note investments.

Events
SRP Americas 2024: 'complex products' definition still pending

26 Sep 2024

SRP Americas 2024: 'complex products' definition still pending

The late afternoon session of the Mayer Brown masterclass at SRP Americas 2024 was led by counsel Brad Berman and partner Steffen Hemmerich – they discussed regulatory and compliance issues related to structured products, index providers, distributors and social media.

Regulation
US SEC ramps up conduct expectations for broker-dealers

21 Jun 2023

US SEC ramps up conduct expectations for broker-dealers

In April 2023, the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”.

Expert View
US SEC ramps up conduct expectations for broker-dealers

21 Jun 2023

US SEC ramps up conduct expectations for broker-dealers

In April 2023, the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”.

Regulation
Mayer Brown: regulatory focus, a reflection of the market growth

14 Feb 2023

Mayer Brown: regulatory focus, a reflection of the market growth

As the US retail structured products market continues to grow regulators have turned their attention to complex products and disclosures.

Events
SRP Americas 2022: lack of ESG regulation will impact indexing

04 Oct 2022

SRP Americas 2022: lack of ESG regulation will impact indexing

Rick Redding, CEO of the Index Industry Association (IIA), shared the most recent developments in the indexing space and his views about the challenges index providers face as new ESG (climate disclosure) and retail investors (complex products) come into force.

Regulation
US congress questions Finra’s ‘complex product’ regulation

29 Sep 2022

US congress questions Finra’s ‘complex product’ regulation

The regulator must provide evidence that current regulations are insufficient; the impact proposed changes would have on retail investors; and whether it is coordinating its effort with the SEC, which has also raised concerns about the retail sale of complex investment products.

Regulation
UBS to pay US$25m to settle SEC charges, investors seek further compensation

01 Sep 2022

UBS to pay US$25m to settle SEC charges, investors seek further compensation

The Swiss bank faces claims of alleged unsuitable sales and misrepresentations from a US broker dealer affiliate.

Regulation
US regulator fines broker dealer for fraudulent structured product sales

03 Aug 2022

US regulator fines broker dealer for fraudulent structured product sales

The US Securities and Exchange Commission (SEC) has fined New York-based Aegis Capital Corp. US$2.3 million for failing to prevent 14 of its brokers from fraudulently selling unsuitable structured products to investors that included retired elderly clients who lost up to hundreds of thousands.