Tag: Finra
US SEC ramps up conduct expectations for broker-dealers
North America | Expert View
21 Jun 2023 by Tim Mortimer - FVC
In April 2023, the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”.
SRP in brief: ups and downs
International | Industry
19 Jun 2023 by Amélie Labbe
Regulators step in Japan and the US, while Austria and South Africa see renewed demand for structured products.
Latest: Finra fines TD Ameritrade for disclosures on callable securities
International | Industry
13 Jun 2023 by SRP News
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
Mayer Brown: regulatory focus, a reflection of the market growth
North America | Regulations & Legal
14 Feb 2023 by Pablo Conde
As the US retail structured products market continues to grow regulators have turned their attention to complex products and disclosures.
US congress questions Finra’s ‘complex product’ regulation
North America | Regulations & Legal
29 Sep 2022 by SRP News
The regulator must provide evidence that current regulations are insufficient; the impact proposed changes would have on retail investors; and whether it is coordinating its effort with the SEC, which has also raised concerns about the retail sale of complex investment products.
Latest: StanChart debuts ESG structured note out of Taiwan
International | Industry
27 Sep 2022 by SRP News
Standard Chartered has launched the first ESG structured note issued in Taiwan.
UK Market Review, July 2022: record issuance
Europe | Market Reviews
26 Aug 2022 by Velina Bulanova
Seventy-one products were added to the UK database in July, up 19 compared to the same month last year.
Finra fines J.P. Morgan over failures to address ‘red flags’ in structured products case
North America | Regulations & Legal
12 Aug 2022 by SRP News
The US regulator’s action against J.P. Morgan Securities is the latest case of unsuitable sales of structured products which exceeded the firm’s own limits.
UK brokerage enters US structured products market
International | Products
26 Jul 2022 by Marc Wolterink
The company is hoping to distribute its first US products by the end of September.
