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Category: Regulations & Legal

SRP Europe 2023: Priips, the political hot potato

Europe | Regulations & Legal
23 Mar 2023 by SRP News

A panel of market participants discussed upcoming revisions and updates to major investment directives, whilst looking at the differences between the EU and UK rules, during the SRP Europe 2023 Conference in London.

SRP Europe 2023: Priips, the political hot potato

Irish regulator updates guidance on decrement, back-testing

Europe | Regulations & Legal
22 Mar 2023 by SRP News

The CBI continues to implement the findings from a series of targeted reviews on structured products aimed at product providers.

Irish regulator updates guidance on decrement, back-testing

SRP Europe 2023: ESG – more than a label

Europe | Regulations & Legal
22 Mar 2023 by SRP News

The demand for Environmental, Social, and Governance (ESG) structured products is high among European investors, fuelled by a compelling risk-return profile and the industry shift towards sustainable finance.

SRP Europe 2023: ESG – more than a label

UK WM association sets out Priips plan

Europe | Regulations & Legal
15 Mar 2023 by SRP News

The association of wealth managers is urging the government and the regulator to carry out a six-point plan to reform disclosure requirements in the wake of Priips reforms in the UK.

UK WM association sets out Priips plan

Structured Alpha is ‘behind us’ says CEO, ex-manager seeks dismissal of charges

North America | Regulations & Legal
01 Mar 2023 by SRP News

The German insurer has reported Q4 profit as the Structured Alpha case lingers in the background.

Structured Alpha is ‘behind us’ says CEO, ex-manager seeks dismissal of charges

Libya fund ‘fraudsters’ mis-using structured products get 11 years jail sentence

International | Regulations & Legal
27 Feb 2023 by SRP News

The ex-bankers used ‘secret commission’ payments on structured products to steal from the Libya sovereign wealth fund.

Libya fund ‘fraudsters’ mis-using structured products get 11 years jail sentence

Putting a label on ESG – regulatory update

Europe | Regulations & Legal
22 Feb 2023 by Pablo Conde

The European Structured Investment Products Association (Eusipa) is not advocating for a particular approach but is urging its members to “be careful with their approach to the ESG score”.

Putting a label on ESG – regulatory update

Getting to grips with Consumer Duty

Europe | Regulations & Legal
15 Feb 2023 by Tim Mortimer - FVC

The UK regulator Financial Conduct Authority (FCA) is in the advanced stages of implementing its new “Consumer Duty” directive.

Getting to grips with Consumer Duty

Mayer Brown: regulatory focus, a reflection of the market growth

North America | Regulations & Legal
14 Feb 2023 by Pablo Conde

As the US retail structured products market continues to grow regulators have turned their attention to complex products and disclosures.

Mayer Brown: regulatory focus, a reflection of the market growth

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