Category: Regulations & Legal
Priips: how did we end up here?
Europe | Regulations & Legal
06 Dec 2022 by Tim Mortimer
The funds industry has finally got his way with the Ucits Priips with new ‘subtle’ changes for 2023 which will have far-reaching consequences.
UK regulator announces code of conduct for ESG products
Europe | Regulations & Legal
01 Dec 2022 by SRP News
As financial services firms integrate ESG into their activities and expand their ESG-focussed products, they are increasingly reliant on third party ESG data and ratings services.
Australia watchdog creates structured products tags
Asia Pacific | Regulations & Legal
30 Nov 2022 by Summer Wang
For exchange-traded products (ETPs), the Australian Securities and Investments Commission has created primary labels, which consist of exchange-traded funds (ETFs) and structured products.
ESG disclosure – the big game changer for the sector
Europe | Regulations & Legal
25 Nov 2022 by Sybil Yorke
Regulatory issues continue to dictate the agenda in the structured products market – next year the focus will be on autocalls, inducements and ESG.
Eusipa: forget about regulation, investment climate looks bright
Europe | Regulations & Legal
24 Nov 2022 by Sybil Yorke
As we approach the year end, SRP caught up with the European association to discuss outstanding issues in the industry’s agenda and where is the market going.
Belgium 9M 2022: FSMA says no to house-indices
Europe | Regulations & Legal
23 Nov 2022 by Marc Wolterink & Nikolay Nikolov
Belgian investors opt for interest-linked structures as the regulator put a stop to complex indices.
Singapore pilots blockchain-transacted structured products
Asia Pacific | Regulations & Legal
02 Nov 2022 by Summer Wang
The Monetary Authority of Singapore (MAS) has launched a new industry pilot in wealth management with HSBC, UOB and Marketnode collaborating to enable native digital issuance of wealth management products.
Regulators red flag digital marketing, distribution as investors flock to alternatives
International | Regulations & Legal
20 Oct 2022 by SRP News
The International Organization of Securities Commissions (Iosco) has published measures for national regulators to consider when determining their policy and enforcement approaches to retail online offerings and marketing.
SK regulator vows to close Heritage DLF inspection by year-end, DLS activity halves
Asia Pacific | Regulations & Legal
11 Oct 2022 by Summer Wang
The Financial Supervisory Service (FSS) plans to conclude the redress to investors involved in the Germany Heritage derivative-linked securities (DLS) case in 2019.
