Tag: Regulation
Derivia Middle East 2024: tailoring products with a Middle Eastern flavour
Middle East & Africa | Conferences
20 Nov 2024 by SRP News
The role of structured products in portfolio management was discussed during the inaugural Derivia Intelligence Middle East conference in Dubai on 20 November.
Priips, Mifid revisited - in search of VfM
Europe | Regulations & Legal
06 Nov 2024 by Tim Mortimer - FVC
Value for money (VfM) testing as part of investor protection has become a central focus for regulators in recent years.
French regulator targets AMC sales
Europe | Regulations & Legal
30 Oct 2024 by SRP News
The Autorité des Marchés Financiers (AMF) has released an update to its position on the distribution of complex financial instruments targeted at distributors of actively managed certificates (AMCs) to retail clients.
Chinese regulator tightens structured notes issuance
Asia Pacific | Regulations & Legal
28 Oct 2024 by Jocelyn Yang
The new measures came into effect a year after the regulatory body under the China Securities Regulatory Commission (CSRC) issued a draft for comments on structured notes’ issuance eligibility and risk management.
MAS sets new approach for insurers issuing structured products
Asia Pacific | Regulations & Legal
21 Oct 2024 by Jocelyn Yang
The Singapore financial regulator is seeking comments on enhancements to the risk-based capital treatment for investment in structured products and infrastructure investments for insurers.
Australian regulator calls for product issuers to review distribution practices
Asia Pacific | Regulations & Legal
10 Oct 2024 by SRP News
The watchdog finds that more improvements for distribution practices are needed following its surveillance of 19 product issuers.
SRP Americas awards 2024: Davis Polk - balancing innovation with regulatory compliance
North America | Regulations & Legal
08 Oct 2024 by Pablo Conde
Davis Polk was recognised once again as the ‘Best Law Firm’ at SRP Americas Awards 2024 for its legal support to market players and its guidance around US regulatory focus areas like the Regulation Best Interest and the DOL fiduciary rule.
EBA report: 95% of structured deposits sales concentrated in four countries
Europe | Regulations & Legal
19 Jul 2024 by SRP News
The EU market on structured deposits is limited in size, concentrated in only a few Member States, and offers products with varying net returns.
India regulator proposes new high-risk asset class
Asia Pacific | Regulations & Legal
18 Jul 2024 by Jocelyn Yang
The proposal says long-short equity funds and inverse ETFs may be permitted to be offered as investment strategies under the new product category.
