Regulation
21 Nov 2025
US regulators tightens oversight on structured products amid complexity concerns
The regulator plans to probe the reasoning behind product selection, conflict management and disclosure practices as complex investments gain weight on retail investor portfolios.
Events
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.
Regulation
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