03 Dec 2025
InspereX launches structured notes platform powered by Luma
The US wholesaler will deploy Luma’s technology for structured...
13 Nov 2025
Buy-side view: navigating shifting rates, themes and capacity
In a year where volatility cooled, interest rates shifted, and...
09 Jun 2025
IVM Markets: high coupon rates don't equate to better performance
Fintech is seeking to change the buy-side’s point of sale narrative.
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...
23 Sep 2024
Hilbert acquires UK intermediary with over US$400m in structured products AuM
The combination of both businesses will establish UK/French structured...
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...
13 Dec 2023
Australia’s Stropro sees record inflows, focuses on FCNs
Most transactions going through the Australian structured product...
23 Oct 2023
SRP Americas Awards 2023: InspereX - a record year led by rates
InspereX has won the Best Independent Broker-Dealer, USA accolade for...
28 Sep 2023
FCA SDR consumer labels: implications for advisers using ESG structured products
In October 2022, the Financial Conduct Authority in the UK (FCA)...
28 Sep 2023
FCA SDR consumer labels: implications for advisers using ESG structured products
In October 2022, the Financial Conduct Authority in the UK (FCA)...
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)...