Regulations & Legal news

Asia Pacific

Korea regulator vows to close Heritage DLF inspection by year-end, DLS activity halves

11 Oct 2022 by Summer Wang | Regulations & Legal

Asia Pacific

Indonesia issues first structured warrant

11 Oct 2022 by Dentons HPRP (Indonesia) | Regulations & Legal

North America

Barclays to pay US$361m to settle structured notes lapse

30 Sep 2022 by Pablo Conde | Regulations & Legal

Europe

Looking back: a ban that changed almost nothing

29 Sep 2022 by Sybil Yorke | Regulations & Legal

North America

US congress questions Finra’s ‘complex product’ regulation

29 Sep 2022 by SRP News | Regulations & Legal

Asia Pacific

Japan reviews structured bonds complexity, pricing transparency

27 Sep 2022 by Summer Wang | Regulations & Legal

North America

Shareholders seek damages for Barclays structured note over-issuance

26 Sep 2022 by SRP News | Regulations & Legal

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