Tag: Complex products
SRP in brief: growing up
International | Industry
30 May 2022 by Amélie Labbe
In the week that saw HSBC Private Banking’s Lavanya Chari become SRP Apac 2022’s personality of the year, we also saw an increase in M&A activity in the structured product space.
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Ireland’s CBI demands industry action on complex structured products
Europe | Regulations & Legal
26 Apr 2022 by SRP News
The Irish regulator is asking investment firms to take action as the market is shifting towards increasingly complex structured products.
US watchdog reminds industry of regulatory obligations
North America | Regulations & Legal
29 Mar 2022 by SRP News
Finra has launched a consultation related to the sale of complex products and options in light of continued concerns and increased activity.
US watchdog to tighten rules on leverage products
North America | Regulations & Legal
06 Oct 2021 by Lavanya Nair
The US SEC is contemplating new guidelines on leverage and inverse exchange-traded products to address risk and complexity.
Russian regulator clamps down on sale of ‘complex products’
Europe | Regulations & Legal
27 Jan 2021 by Pablo Conde
The Russian regulator is targeting financial intermediaries to restrict the sale of derivative and structured products to non-qualified investors.
US watchdog issues fresh warnings to broker-dealers on vol ETPs
North America | Regulations & Legal
24 Nov 2020 by Lavanya Nair
The Security and Exchange Commission’s (SEC) office of compliance inspections and examinations has issued a public statement to retail investors on the sales of volatility-linked exchange-traded products (ETPs).
Insurance regulator urged to revise framework on indexed annuities
North America | Products
23 Nov 2020 by Lavanya Nair
The National Association of Insurance Commissioners (NAIC) has been advised to adopt five changes to its guidelines concerning insurance products that include indexed annuities.
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US watchdog reviews investor protection framework
North America | Regulations & Legal
02 Nov 2020 by Lavanya Nair
The US Securities & Exchange Commission (SEC) divisions of Investment Management, Corporation Finance, and Trading and Markets will review the effectiveness of the existing regulatory requirements in protecting investors.
US ‘accredited investor’ amendment to expand product reach
North America | Regulations & Legal
03 Sep 2020 by Lavanya Nair & Pablo Conde
The US Securities and Exchange Commission has announced amendments to the definition of a crucial test that determines investors’ eligibility to participate in its private capital markets, known as the accredited investor.
