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.
05 Feb 2025
Fidelity hit with Finra claim over US$11.1m ETN loss
The exchange-traded note (ETN) issued by Credit Suisse has caused a loss of US$11.1m after being ‘inappropriately’ recommended by an advisor on the Fidelity brokerage platform.
02 Dec 2024
SRP in brief: index in focus
It was a busy week for the US index-linked annuity market, and elsewhere.
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 a total of 20 customer disputes.
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 mis-selling of XIV, a now-defunct exchange-traded note (ETN) issued by Credit Suisse.
21 Oct 2024
SRP in brief: Korea, Poland market reviews out
The past week saw the release of two exclusive market reviews prepared by our SRP editorial team.
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.
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.
15 Aug 2024
JPM sued by Dropbox co-founder over US$1bn structured note sales
The former Dropbox executive is seeking to recover US$225m in damages from J.P. Morgan due to “exorbitant” undisclosed fees on 35 structured notes.
03 Jul 2023
Latest: Finra fines CS over inaccurate reports
In this week's Latest, we focus on a penalty on Credit Suisse (CS), first US stock-linked structured certificates in Poland, US investors’ rising appetite for alternatives, J.P. Morgan's latest sustainable data solution and UBS' push in tokenisation.
22 Jun 2023
Latest: Finra fines Schwab over disclosures on ETNs
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.