27 Jan 2025
HK regulator fines Hang Seng Bank over mis-selling
The HSBC Group member has been fined HK$66.4m (US$8.5m) for misconduct...
28 Nov 2024
Stifel slapped with US$2.3m penalty over structured notes sales
Finra’s penalty is directed to one of the firm’s advisor embroiled in...
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...
30 Sep 2024
Sales of Korean autocalls drop after banks suspend sales in H1 24
The outstanding balance of non-principal-protected ELS products falls...
11 Jun 2024
Latest: Korean regulators respond to rumours, Structured Alpha manager pleads guilty
In this week’s roundup we look at the ongoing investigation on ELS by...
20 May 2024
StanChart Korea puts US$100m aside to compensate HSCEI autocall investors
The contingency plan comes after the UK bank’s Korea unit sold US$900m...
11 Mar 2024
Korean watchdog slams sellers of HSCEI-linked ELS and sets up compensation plan
The FSS' latest investigation revealed that losses from HSCEI-linked...
01 Dec 2023
Korea’s regulator slams banks over HSCEI-linked ELS misselling
The head of the Korean financial watchdog has questioned whether the...
24 Oct 2023
Latest: iCapital onboards advisers in US, Australia
The US alternative investment platform has added two new clients to...
12 Jun 2023
Japan watchdog seeks penalty for structured bond mis-selling
A Japanese government body is urging regulators to punish Chibagin...
19 Apr 2023
Litigation: NY court dismisses leverage ETN case against Credit Suisse
Claims that the Swiss bank caused retail investors significant losses...
18 Apr 2023
Litigation: FIA lawsuit spotlights prop index backtesting flaws
A group of investors say they were misled by a fixed indexed annuity...