North America News

SEC charges broker-dealer with Reg-BI violations

North America | Regulations & Legal

20 Sep 2024 by SRP News

The US regulator found that the advisor's structured note recommendations violated Reg BI’s compliance obligation

SRP Americas 2024: leveraging technology to increase distribution, auto-pricers in focus

International | Conferences

19 Sep 2024 by SRP News

Panelists discussed how buy-sides drive the innovation of technology and platforms within the structured product industry at the SRP Americas 2024 conference held in New Orleans, LA last week.

SRP Americas 2024: tactical balancing of portfolio exposure

International | Conferences

18 Sep 2024 by SRP News

Panellists at the SRP Americas 2024 Conference in New Orleans discussed portfolio allocation and capital protection with the long-term goal of preserving wealth.

US advisor to pay over US$1.5m for unsuitable sales involving ETNs

North America | Regulations & Legal

18 Sep 2024 by SRP News

The US regulator has charged the RIA and its owner for investing clients’ funds in unsuitable equity-linked structured notes

SRP Americas 2024: Product Lab – building good products

International | Conferences

17 Sep 2024 by Pablo Conde

This year, the SRP Americas 2024 Conference included a Product Lab discussion where panellists talked about the key properties of structured products and the challenges to meet investors’ as well as distributors and advisors’ preferences and choices.

SRP Americas 2024: downside protection keeps people invested

International | Conferences

16 Sep 2024 by SRP News

Panellists at the SRP Americas 2024 conference held in New Orleans, LA on 11 September discussed the growing popularity of defined outcome ETFs, their strengths and weaknesses and how they fit alongside structured products in investors' portfolios.

SRP Americas 2024: annuities soar on high rates, market competition

North America | Conferences

13 Sep 2024 by SRP News

Panellists discussed the booming FIA and Rila markets at the SRP Americas 2024 conference held in New Orleans, LA on 11 September.

SRP Americas 2024 Personality of the Year, annuities – Natasha Dadlani

International | Conferences

13 Sep 2024 by Summer Wang

Natasha Dadlani (pictured), managing director, head of EQD and QIS Sales, global markets Americas at Société Générale (SG), is the recipient of the 2024 SRP Americas Personality of the Year, Annuities award after gaining the most votes in the industry in the SRP Americas 2024 survey.

SRP Americas 2024 Awards: the winners revealed

International | Industry

12 Sep 2024 by SRP News

The best in class in the structured product industry gathered in New Orleans for the SRP Americas 2024 Awards on 11 September. The full list of winners is below.