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.
23 Sep 2024
Hilbert acquires UK intermediary with over US$400m in structured products AuM
The combination of both businesses will establish UK/French structured products boutique as a top five distributor in the UK market.
18 Sep 2024
US advisor to pay over US$1.5m for unsuitable sales involving ETNs
The US regulator has charged the RIA and its owner for investing clients’ funds in unsuitable equity-linked structured notes
13 Dec 2023
Australia’s Stropro sees record inflows, focuses on FCNs
Most transactions going through the Australian structured product platform come from private wealth advisers and brokers.
23 Oct 2023
SRP Americas Awards 2023: InspereX - a record year led by rates
InspereX has won the Best Independent Broker-Dealer, USA accolade for the fifth consecutive year at the SRP Americas Awards 2023, presented in Chicago on 27 September.
28 Sep 2023
FCA SDR consumer labels: implications for advisers using ESG structured products
In October 2022, the Financial Conduct Authority in the UK (FCA) released its consultation paper on Sustainability Disclosure Requirements (SDRs) and sustainable investment labels.
28 Sep 2023
FCA SDR consumer labels: implications for advisers using ESG structured products
In October 2022, the Financial Conduct Authority in the UK (FCA) released its consultation paper on Sustainability Disclosure Requirements (SDRs) and sustainable investment labels.
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
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”.
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
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”.
07 Jun 2023
US platform onboards SMAs, adds interest rate structures
Luma has partnered with a US advisor to offer structured note replication strategies and expanded its product coverage.