4 December 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 structured product over-issuances after over two years since the blunder was reported to the regulator.
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05 Dec 2024
03 Dec 2024
Swedish regulator slams 'high risk' autocalls
The watchdog’s latest paper finds that structured products with an autocall feature often provide a lower return compared to a direct investment in the underlying assets.
02 Dec 2024
RIS is 'complex and bureaucratic': finance sector slams EU's regulatory framework
The European Structured Investment Products Association (Eusipa) and 11 other financial associations have sounded the alarm on the upcoming European Retail Investment Strategy (RIS), calling for a competitiveness check on regulation.
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 a total of 20 customer disputes.
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...
06 Nov 2024
Priips, Mifid revisited - in search of VfM
Value for money (VfM) testing as part of investor protection has...
31 Oct 2024
Eusipa: VfM paper addresses funding cost dilemma
The industry’s proposal seeks a consistent internal standard to...
30 Oct 2024
French regulator targets AMC sales
The Autorité des Marchés Financiers (AMF) has released an update to...
28 Oct 2024
Chinese regulator tightens structured notes issuance
The new measures came into effect a year after the regulatory body under the China Securities Regulatory Commission (CSRC) issued a draft for comments on structured notes’ issuance eligibility and risk management.
21 Oct 2024
MAS sets new approach for insurers issuing structured products
The Singapore financial regulator is seeking comments on enhancements to the risk-based capital treatment for investment in structured products and infrastructure investments for insurers.
16 Oct 2024
US regulator fines broker-dealer for mis-selling structured notes
Stifel ordered to pay US$14.2m in Finra arbitration over failure to supervise recommendations of structured note investments.
11 Oct 2024
Eusipa publishes its position on Value for Money
The document sets out the industry’s core views on the relevant regulatory mechanisms and shows ways to apply a future ruleset on ‘Value for Money’ to structured products and leverage products.