5 March 2025
Value for Money testing in the EU
We have a closer look at one of the key regulatory requirements to be observed by the structured products industry once the European Retail Investment Strategy (RIS) comes into force.
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26 Feb 2025
Korean banks face ELS sales restrictions as regulator tightens distribution rules
The new measures will limit the number of bank branches that are allowed to offer these ‘highly complex financial investment products’.
20 Feb 2025
Esma releases new guidelines on product supplements
The European regulator is seeking feedback from the industry to harmonises the supervision of product supplements within the EU Prospectus Regulation.
18 Feb 2025
New US class action targets Credit Suisse XIV notes
The products at the centre of a subclass suit over market manipulation are the XIV exchange-traded notes (ETNs) that allegedly resulted in US$1.8 billion investor loss.
13 Feb 2025
Esma sets out new rules on benchmarks
The proposed new rules are expected to be negotiated among the European institutions throughout 2025.
11 Feb 2025
UKSPA: concerns around complexity in determining risk under CCI regime
The FCA consultation on the Consumer Composite Investments Regime...
05 Feb 2025
Fidelity hit with Finra claim over US$11.1m ETN loss
The exchange-traded note (ETN) issued by Credit Suisse has caused a...
04 Feb 2025
South Korean regulator slams ELS' sales practices
Claims of mis-selling remain as FSS lambasts distributors for lack of...
27 Jan 2025
HK regulator fines Hang Seng Bank over mis-selling
The HSBC Group member has been fined HK$66.4m (US$8.5m) for misconduct...
21 Jan 2025
Year in review: 2024 new rules, enforcement actions
We look back at the main stories of last year covering regulatory developments across the world, as well as some of the high-profile lawsuit and arbitration cases in the US, related to structured products.
03 Jan 2025
South Korea’s largest labour union calls for more ELS, DLS rules
Its latest working paper proposes to ban selling high-risk structured products with unilateral downside risk to the general public.
23 Dec 2024
Australian regulator sues Binance over customer protection failures
ASIC has taken Binance Australia Derivatives to the federal court following the alleged mis-classification of retail investors to wholesale investors while investors were trading crypto derivative products.
20 Dec 2024
UK regulator to phase out Priips in shift from EU
A new regime will replace the current retail investor disclosure framework as it continues to diverge from the European Union .