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