30 Jun 2025
People: SG-Forge’s head of sales shifts to Keyrock
Also, SEC names director of markets & trading division; Nasdaq appoints head of sales Europe at Nadaq; Esma appoints chairwoman, and more.
19 Jun 2025
Latest: US advisors see value in structured products, SEC recalibrates enforcement program
A survey by iCapital shows that advisors see support for personalisation and value in structured investments; Leonteq becomes market maker on BX exchange; new structured products advisory launches in Switzerland; STOXX deploys defense index.
10 Oct 2024
Latest: Indian regulator strengthens equity index derivatives framework
This roundup includes the latest developments at Sebi, Luma, the London Stock Exchange, and Calamos, among others.
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.
23 Sep 2024
SRP in brief: expanding landscape
BNPP’s two MDs within the global equities division had role exchanges; VDK Bank made a comeback in Belgium; and Singapore’s DBS sets to offer structured notes tracking the price of Bitcoin and Ethereum.
20 Sep 2024
SEC charges broker-dealer with Reg-BI violations
The US regulator found that the advisor's structured note recommendations violated Reg BI’s compliance obligation
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 clients’ funds in unsuitable equity-linked structured notes
25 Jul 2024
Digital assets: SEC unlocks the gate for new crypto products, Marex deploys CoinDesk 20 index
In our latest crypto round up we look at the latest developments in the digital market including the US regulator's approval of Ethereum ETFs, as well as launches of new products and indices from some of the main players.
02 Jul 2024
US regulator sets out Rila disclosure, advertising rules
The SEC has adopted a new registration form and introduced advertisement amendments for registered index-linked annuities (Rilas) after nine months.
29 Apr 2024
SEC: structured notes, EQD represent small portion in fund space
A new report issued by the SEC offers new insight on the use of structured notes and derivatives in the US registered funds segment which is worth US$26 trillion in total.
02 Jan 2024
Digital assets: SEC fines crypto structured product provider
In this week’s roundup, we also look at Nexo’s new dual investment product and Hong Kong SFC’s new requirements on crypto spot ETF.
13 Nov 2023
Biden’s proposed fiduciary rule sparks backlash
A group of 17 associations have asked for extension to comment on the fiduciary rules proposed by President Biden, which seek to tighten sales of indexed annuities that has seen a record growth.