Tag: SEC
SEC: structured notes, EQD represent small portion in fund space
North America | Products
29 Apr 2024 by Summer Wang
A new report issued by the SEC offers new insight on the use of structured notes and derivatives in the US registered funds segment which is worth US$26 trillion in total.
Digital assets: SEC fines crypto structured product provider
International | Industry
02 Jan 2024 by Jocelyn Yang
In this week’s roundup, we also look at Nexo’s new dual investment product and Hong Kong SFC’s new requirements on crypto spot ETF.
Biden’s proposed fiduciary rule sparks backlash
North America | Regulations & Legal
13 Nov 2023 by Summer Wang
A group of 17 associations have asked for extension to comment on the fiduciary rules proposed by President Biden, which seek to tighten sales of indexed annuities that has seen a record growth.
Annuities: Prof Siegel’s index earns SRP accolade, SEC simplifies forms for Rilas
North America | Products
02 Oct 2023 by SRP News
The US SEC has proposed a tailored registration form for Rilas; Farmers debuts FIA; Salt Financial and Nasdaq expand vol control suite; and more.
Digital assets: SEBA gets HK approval-in-principle to offer structured products
International | Products
30 Aug 2023 by Jocelyn Yang & Summer Wang
In this week’s roundup, we look at new developments in the digital assets market in relation to derivatives and structured products including Hashkey’s plan on derivatives as it goes live in HK, Grayscale’s winning over the SEC, the approval granted to Coinbase in the US, and more.
Latest: Stifel advisor faces investor claims over structured notes
International | Industry
24 Aug 2023 by SRP News
A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing several investor complains relating to the sale of structured notes.
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”.
Latest: new AMCs launched, SEC releases Reg BI guidance
International | Industry
26 Apr 2023 by SRP News
A Swiss investment firm specialised in the timber industry is pitching a new product seeking to capitalise on changes to established business practices; UBS has listed five new AMCs in South Africa; Citi partners with Qontigo to launch clean energy-linked products; and more.