Category: Regulations & Legal
SEC’s new best interest standard causes confusion
North America | Regulations & Legal
14 Jun 2019 by Amélie Labbe
The Securities and Exchange Commission’s (SEC) new best interest rule for broker-dealers has stirred some controversy in the US investment community.
SFC offers further guidelines on complex product sales
Asia Pacific | Regulations & Legal
13 Jun 2019 by Jihye Hwang
The Hong Kong regulator has published new guidelines setting out the requirements for the online and offline sale of complex products, including structured products, which will become effective early next month.