Regulations & Legal news

Asia Pacific

Korea’s regulator slams banks over HSCEI-linked ELS misselling

01 Dec 2023 by Jocelyn Yang | Regulations & Legal

Europe

UK regulator sets out SDR, ESG labelling regime for investment products

28 Nov 2023 by SRP News | Regulations & Legal

International

Swiss-backed financial engineering boutique suspended, Russian links confirmed

23 Nov 2023 by Pablo Conde | Regulations & Legal

Europe

German regulator warns Leonteq of serious AML shortcomings

13 Nov 2023 by Pablo Conde | Regulations & Legal

North America

Biden’s proposed fiduciary rule sparks backlash

13 Nov 2023 by Summer Wang | Regulations & Legal

International

Digital assets: regulators join efforts on tokenisation pilots

06 Nov 2023 by Jocelyn Yang | Regulations & Legal

Asia Pacific

SFC to mitigate ESG greenwashing in investment products

02 Nov 2023 by Jocelyn Yang | Regulations & Legal

North America

Fed clarifies CLN treatment, approves MS deal

30 Oct 2023 by Summer Wang | Regulations & Legal

Asia Pacific

SFC warns distributors on meeting standard for product offering scope

26 Oct 2023 by Jocelyn Yang | Regulations & Legal