Regulations & Legal news

Europe

Eusipa - Esma report: not a true depiction of the market

13 May 2021 by Pablo Conde | Regulations & Legal

Europe

European regulators target ‘due cost’

12 May 2021 by Pablo Conde | Regulations & Legal

Europe

Compass: digital assets indices suitable for structured products

11 May 2021 by Marc Wolterink | Regulations & Legal

Asia Pacific

Thai regulator proposes to lower net worth requirement

11 May 2021 by Summer Wang | Regulations & Legal

Europe

French watchdog updates structured products rulebook

28 Apr 2021 by SRP News | Regulations & Legal

Europe

Esma: Priips KID functioning as intended

15 Apr 2021 by SRP News | Regulations & Legal

North America

US regulator slaps fine on Merrill Lynch for ETN shortcomings

13 Apr 2021 by Lavanya Nair | Regulations & Legal

Europe

Best, top, smart are misleading, says FSMA

12 Apr 2021 by SRP News | Regulations & Legal

North America

Finra: former Merrill Lynch brokers not responsible over structured notes sales

24 Mar 2021 by Lavanya Nair | Regulations & Legal