Tag: Finra
Latest: StanChart debuts ESG structured note out of Taiwan
International | Industry
27 Sep 2022 by SRP News
Standard Chartered has launched the first ESG structured note issued in Taiwan.
UK Market Review, July 2022: record issuance
Europe | Market Reviews
26 Aug 2022 by Velina Bulanova
Seventy-one products were added to the UK database in July, up 19 compared to the same month last year.
Finra fines J.P. Morgan over failures to address ‘red flags’ in structured products case
North America | Regulations & Legal
12 Aug 2022 by SRP News
The US regulator’s action against J.P. Morgan Securities is the latest case of unsuitable sales of structured products which exceeded the firm’s own limits.
UK brokerage enters US structured products market
International | Products
26 Jul 2022 by Marc Wolterink
The company is hoping to distribute its first US products by the end of September.
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.
US watchdog reminds industry of regulatory obligations
North America | Regulations & Legal
29 Mar 2022 by SRP News
Finra has launched a consultation related to the sale of complex products and options in light of continued concerns and increased activity.
US regulation: 10 years on after the GFC
North America | Regulations & Legal
28 Sep 2021 by Lavanya Nair
The US structured products market has undergone several impactful changes over the past decade since the devastating financial crash of 2008.
Finra: former Merrill Lynch brokers not responsible over structured notes sales
North America | Regulations & Legal
24 Mar 2021 by Lavanya Nair
The Financial Industry Regulatory Authority (Finra) ruled that the broker-dealers now at Raymond James were not responsible for the failure to properly disclose the costs of notes that saw some investors incur significant losses.
US regulator orders JPM Securities to pay settlement fee
North America | Regulations & Legal
04 Mar 2021 by Lavanya Nair
An arbitration panel of the US watchdog Financial Industry Regulatory Authority (Finra) has ordered JP Morgan Securities (JPMS) and two of its ex-brokers to pay US$19m in damages to an elderly investor of structured products.