Tag: Finra
Latest: Finra fines CS over inaccurate reports
International | Industry
03 Jul 2023 by SRP News
In this week's Latest, we focus on a penalty on Credit Suisse (CS), first US stock-linked structured certificates in Poland, US investors’ rising appetite for alternatives, J.P. Morgan's latest sustainable data solution and UBS' push in tokenisation.
SRPInsight issue 24: deep barriers
International | Industry
30 Jun 2023 by SRP News
Issue 24 of our e-mag is out and ready to download.
Latest: Finra fines Schwab over disclosures on ETNs
International | Industry
22 Jun 2023 by SRP News
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
US SEC ramps up conduct expectations for broker-dealers
North America | Regulations & Legal
21 Jun 2023 by Tim Mortimer - FVC
In April 2023, the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”.
US SEC ramps up conduct expectations for broker-dealers
North America | Expert View
21 Jun 2023 by Tim Mortimer - FVC
In April 2023, the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”.
SRP in brief: ups and downs
International | Industry
19 Jun 2023 by Amélie Labbe
Regulators step in Japan and the US, while Austria and South Africa see renewed demand for structured products.
Latest: Finra fines TD Ameritrade for disclosures on callable securities
International | Industry
13 Jun 2023 by SRP News
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
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.
US congress questions Finra’s ‘complex product’ regulation
North America | Regulations & Legal
29 Sep 2022 by SRP News
The regulator must provide evidence that current regulations are insufficient; the impact proposed changes would have on retail investors; and whether it is coordinating its effort with the SEC, which has also raised concerns about the retail sale of complex investment products.