02 Jul 2025
Singapore's financial regulator aims to highlight the key product features on the first page of the proposed product highlight sheets.
18 Jun 2025
The regulator has flagged inconsistent cost disclosures, potentially making it harder for clients to compare investment products.
28 May 2025
The discussion on the key drivers of growth for structured products in the life insurance space in France.
16 Oct 2024
Stifel ordered to pay US$14.2m in Finra arbitration over failure to supervise recommendations of structured note investments.
26 Sep 2024
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.
21 Jun 2023
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”.
21 Jun 2023
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”.
14 Feb 2023
As the US retail structured products market continues to grow regulators have turned their attention to complex products and disclosures.
04 Oct 2022
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.
29 Sep 2022
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.
01 Sep 2022
The Swiss bank faces claims of alleged unsuitable sales and misrepresentations from a US broker dealer affiliate.
03 Aug 2022
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.