Tag: Asic

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.

Latest: Leonteq issues profit warning, BMO adds higher leverage to ETN range

International | Industry

12 Dec 2023 by SRP News

The Swiss structured products specialist struggles to leave behind allegations of shortcomings in the prevention of money laundering, tax evasion and terrorist financing.

ASIC tightens OTC derivatives rules

Asia Pacific | Regulations & Legal

06 Sep 2023 by Jocelyn Yang

The Australian financial watchdog urges product issuers to address over-reliance on client questionnaires, review mass marketing of OTC derivatives and make greater use of available data.

SRP in brief: come rain or shine

International | Industry

21 Aug 2023 by Amélie Labbe

Staff continues exiting Credit Suisse, while a number of the larger banks reported mixed quarterly results.

Aussie regulator extends product design, distribution obligations

Asia Pacific | Regulations & Legal

16 Aug 2023 by Summer Wang

The Australian Securities and Investments Commission (Asic) has proposed to extend the interim measures of design and distribution obligations (DDO) to seven years from two years.

Asic calls issuers to improve design, distribution obligations

Asia Pacific | Regulations & Legal

17 May 2023 by SRP News

The Australian Securities and Investments Commission (Asic) is urging investment product issuers to ‘lift their game’ after an initial review found significant room for improvement in how they meet their design and distribution obligations (DDO).

Cryptos: FTSE Russell debuts multi asset digital asset series

International | Industry

29 Nov 2022 by SRP News

The crypto market has lost two-thirds of its value in a year and has been roiled by the collapse of large market participants triggering a domino effect, but developments continue as the industry, seeks to overcome the tumult of the past few weeks.

Regulators aim at high-risk products and naming conventions

International | Regulations & Legal

25 Jan 2022 by SRP News

Regulators across the world are keeping a close eye on risky products as well as exchange-traded products (ETPs), crypto assets and ESG disclosures.

SRP in brief: finally coming home

International | Industry

12 Jul 2021 by Amélie Labbe

As the UK licks its Euro 2020 football (soccer) wounds, the structured product market goes from strength to strength on the back of investor interest shifting to these products.