Category: Regulations & Legal
Latest: US regulator aims at index providers
International | Regulations & Legal
27 Jun 2022 by SRP News
The SEC is seeking public comments regarding information providers acting as investment advisers.
Innovation, complexity: treading the middle ground
North America | Regulations & Legal
22 Jun 2022 by Tim Mortimer - FVC
The recent notice on complex products from the US regulator signals a revival of supervisory measures to balance out innovation and complexity.
Libor part 3 - Backwards and forwards
International | Regulations & Legal
15 Jun 2022 by Sybil Yorke
Sofr has overcome early resistance to become the dominant index for new trading and lending transactions, including structured products.
That’s the way to do it - Sofr saves the day
International | Regulations & Legal
26 May 2022 by Sybil Yorke
Regulatory measures have largely resolved headline issues for USD Libor transition as Sofr becomes cheaper borrowing choice.
Allianz hit by US$6bn SEC fine, Structured Alpha managers charged
North America | Regulations & Legal
18 May 2022 by SRP News
A recent string of cases in which derivatives and complex products harmed investors across market sectors have seen fines handed out.
‘Poor practice’ on KID disclosures fails retail investors, EU regulators
Europe | Regulations & Legal
11 May 2022 by SRP News
EU Regulators call for improvements in product descriptions intended for retail investors.
ESAs call for ‘friendlier’ KID
Europe | Regulations & Legal
03 May 2022 by Pablo Conde
The European Supervisory Authorities (EBA, Eiopa and Esma – ESAs) published on Friday (29 April) their technical advice to the European Commission (EC) on the review of the Packaged Retail and Insurance-based Investment Products (Priips) Regulation.
Libor transition – a sterling success?
Europe | Regulations & Legal
27 Apr 2022 by Sybil Yorke
Should the structured products industry congratulate itself on successfully transitioning its sterling Libor obligations, or bite its nails in fear of unintended consequences? Perhaps both.
Ireland’s CBI demands industry action on complex structured products
Europe | Regulations & Legal
26 Apr 2022 by SRP News
The Irish regulator is asking investment firms to take action as the market is shifting towards increasingly complex structured products.
