Insights by Tag:

Regulation

Products
Finra greenlights corporate debt trading on ATS platform

25 Sep 2025

Finra greenlights corporate debt trading on ATS platform

The company also aims to develop tokenised debt and structured products to meet specific investor demand.

Regulation
Yuanta Securities fined by Taiwan regulator over dishonest ELN sales

24 Sep 2025

Yuanta Securities fined by Taiwan regulator over dishonest ELN sales

The alleged salesperson obtained the funds from customers under the guise of buying equity-linked notes (ELN), the regulator says.

Market
SFC tightens exchange-traded derivatives in Hong Kong

23 Sep 2025

SFC tightens exchange-traded derivatives in Hong Kong

The consultation period will run for three months with the new guidelines expected to be implemented in the first quarter of 2028.

Regulation
Korean banks eye resumption of ELS sales under new measure, timing remains unclear

10 Sep 2025

Korean banks eye resumption of ELS sales under new measure, timing remains unclear

The rollout of the regulatory update regarding banks' sales of ELS may be delayed from September towards the year-end.

Market
Digital assets: CFTC relaxes rules on listed products

05 Aug 2025

Digital assets: CFTC relaxes rules on listed products

Also, CFTC to allow listed spot crypto trading on registered exchanges; FCA opens retail access to crypto ETNs; new partnerships unveiled by Coinbase, Marex and DelphX

Regulation
US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules

22 Jul 2025

US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules

The latest industry webinar on the US structured investment product landscape provided critical insights into market trends, regulatory priorities and future expectations.

Market
Korean regulator bolsters investor protection amid ELS mis-selling scandal

14 Jul 2025

Korean regulator bolsters investor protection amid ELS mis-selling scandal

The increased investor assessment and the change in product description order for high-difficulty financial investment products are among regulator’s targets.

Market
SRP in brief: regulators in the spotlight

14 Jul 2025

SRP in brief: regulators in the spotlight

The latest product news, market reviews, people moves and regulatory updates from SRP’s news desk, which this week saw structured products associations as well as regulators across jurisdictions taking center stage.

Regulation
SEC provides further clarity on crypto ETPs

11 Jul 2025

SEC provides further clarity on crypto ETPs

The latest guidance covers a range of disclosures included in registration statements of crypto asset exchange-traded products (ETPs).

Products
HK SFC reports 94% surge in unlisted structured products volume

10 Jul 2025

HK SFC reports 94% surge in unlisted structured products volume

The FY24/25 annual report released by the city’s financial watchdog highlights the increased issuance amount and number of authorised products for public offerings in the market.

Regulation
Eusipa wants structured products under SIA, Finance Europe umbrella

10 Jul 2025

Eusipa wants structured products under SIA, Finance Europe umbrella

The European association believes structured products can encourage both long-term saving and targeted capital allocation.

Regulation
UKSPA aims at performance-based value for money testing

07 Jul 2025

UKSPA aims at performance-based value for money testing

Following the recent Brexit reset trade agreement between the UK government and the EU, SRP caught up with the UK Structured products Association (UKSPA) to discuss the main items and initiatives driving the association’s agenda for the remainder of 2025.