Regulations & Legal news

Asia Pacific

Australian regulator calls for product issuers to review distribution practices

10 Oct 2024 by SRP News | Regulations & Legal

North America

SRP Americas awards 2024: Davis Polk - balancing innovation with regulatory compliance

08 Oct 2024 by Pablo Conde | Regulations & Legal

North America

SRP Americas 2024: US federal income taxation of structured notes

24 Sep 2024 by SRP News | Regulations & Legal

North America

SEC charges broker-dealer with Reg-BI violations

20 Sep 2024 by SRP News | Regulations & Legal

Europe

Esma sounds alarm on zero-day options ETPs

19 Sep 2024 by SRP News | Regulations & Legal

North America

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

18 Sep 2024 by SRP News | Regulations & Legal

Latin America

Brazil greenlights credit-linked notes

27 Aug 2024 by Summer Wang | Regulations & Legal

North America

JPM sued by Dropbox co-founder over US$1bn structured note sales

15 Aug 2024 by Summer Wang | Regulations & Legal

Europe

EBA report: 95% of structured deposits sales concentrated in four countries

19 Jul 2024 by SRP News | Regulations & Legal