3 January 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.
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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 .
12 Dec 2024
Leonteq to pay US$10m for breaching risk management, suitability obligations
Finma has ordered the structured products provider to halt its existing relationships as well as new business with unregulated distributors.
10 Dec 2024
Ex-Allianz senior manager spared prison in Structured Alpha saga
The co-lead manager of the structured fund has avoided prison time due to health issues regarding a multi-billion-dollar fraud scheme.
04 Dec 2024
Barclays reaches US$19.5m settlement over mis-sold ETNs
The British bank has agreed to pay US$19.5m over the fallout of its...
03 Dec 2024
Swedish regulator slams 'high risk' autocalls
The watchdog’s latest paper finds that structured products with an...
02 Dec 2024
RIS is 'complex and bureaucratic': finance sector slams EU's regulatory framework
The European Structured Investment Products Association (Eusipa) and...
28 Nov 2024
Stifel slapped with US$2.3m penalty over structured notes sales
Finra’s penalty is directed to one of the firm’s advisor embroiled in...
20 Nov 2024
US broker-dealer to recompense US$2m over XIV ETN sales
Finra has imposed sanctions on a Georgia-based broker-dealer over its mis-selling of XIV, a now-defunct exchange-traded note (ETN) issued by Credit Suisse.
13 Nov 2024
Canada’s OCS records CA$34.2bn structured notes outstanding
The volume is in record territory with a 12.5% increase year-on-year for the Toronto-led capital markets.
06 Nov 2024
Priips, Mifid revisited - in search of VfM
Value for money (VfM) testing as part of investor protection has become a central focus for regulators in recent years.
31 Oct 2024
Eusipa: VfM paper addresses funding cost dilemma
The industry’s proposal seeks a consistent internal standard to evaluate how much extra cost the structured product charges for additional features versus a simple zero-coupon bond.