06 Jan 2026
SCMHK hit with HK$4M SFC fine over crypto product breaches
The products provider failed to meet specific procedures for...
21 Nov 2025
US regulators tightens oversight on structured products amid complexity concerns
The regulator plans to probe the reasoning behind product selection,...
12 Dec 2024
Leonteq to pay US$10m for breaching risk management, suitability obligations
Finma has ordered the structured products provider to halt its...
20 Nov 2024
US broker-dealer to recompense US$2m over XIV ETN sales
Finra has imposed sanctions on a Georgia-based broker-dealer over its...
20 Sep 2024
SEC charges broker-dealer with Reg-BI violations
The US regulator found that the advisor's structured note...
18 Sep 2024
US advisor to pay over US$1.5m for unsuitable sales involving ETNs
The US regulator has charged the RIA and its owner for investing...
22 Apr 2024
HK regulators slam due diligence flaws in structured product sales
A thematic review carried out by the regulators highlights...
12 Jun 2023
Japan watchdog seeks penalty for structured bond mis-selling
A Japanese government body is urging regulators to punish Chibagin...
07 Jun 2023
EU associations sound alarm on new EU retail investment rules
European finance trade associations have voiced ‘multiple concerns’ as...
17 May 2023
Asic calls issuers to improve design, distribution obligations
The Australian Securities and Investments Commission (Asic) is urging...
29 Sep 2022
Looking back: a ban that changed almost nothing
The introduction of a commission ban in the Netherlands almost a...
29 Sep 2022
US congress questions Finra’s ‘complex product’ regulation
The regulator must provide evidence that current regulations are...