Regulations & Legal news

North America

UBS to pay US$25m to settle SEC charges, investors seek further compensation

01 Sep 2022 by SRP News | Regulations & Legal

International

Latest: US law firm targets crude oil-linked autocalls issued by J.P. Morgan

30 Aug 2022 by SRP News | Regulations & Legal

Europe

Ban on commissions: before the fall

17 Aug 2022 by Sybil Yorke | Regulations & Legal

Europe

Eusipa: complexity is ill-suited as a regulatory concept

16 Aug 2022 by Pablo Conde | Regulations & Legal

North America

Finra fines J.P. Morgan over failures to address ‘red flags’ in structured products case

12 Aug 2022 by SRP News | Regulations & Legal

North America

US regulator fines broker dealer for fraudulent structured product sales

03 Aug 2022 by SRP News | Regulations & Legal

North America

Mayer Brown: no need for further index regulation

28 Jul 2022 by SRP News | Regulations & Legal

North America

AXS launches first L&I ETFs in US

18 Jul 2022 by Summer Wang | Regulations & Legal

Europe

FSMA vigilant on greenwashing, bans four products

04 Jul 2022 by Marc Wolterink | Regulations & Legal