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...
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
In April 2023, the US Securities and Exchange Commission (SEC)...
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
In April 2023, the US Securities and Exchange Commission (SEC)...
01 Sep 2022
UBS to pay US$25m to settle SEC charges, investors seek further compensation
The Swiss bank faces claims of alleged unsuitable sales and...
25 Nov 2021
Simon bolsters US footprint with record growth
The US multi-dealer platform has announced record increases in its...
02 Jun 2021
Buy-side view: 2020 increased investor appetite for AMCs
Market participants who considered ‘black swan’ events almost...
12 Apr 2021
Kiatnakin Phatra Securities’ sales plunge
The largest player of structured notes in Thailand has decreased its...
03 Nov 2020
HPC IP: change of guard triggers product expansion
Anglo-French structured products specialist boutique HPC Investment...
16 Oct 2020
Buy-side view: playing the pre-IPO market
Investment banks are creating new teams to trade the shares of pre-IPO...
14 Jun 2019
SEC’s new best interest standard causes confusion
The Securities and Exchange Commission’s (SEC) new best interest rule...
