Tag: SEC
Latest: Indian regulator strengthens equity index derivatives framework
International | Industry
10 Oct 2024 by SRP News
This roundup includes the latest developments at Sebi, Luma, the London Stock Exchange, and Calamos, among others.
SRP Americas 2024: 'complex products' definition still pending
North America | Conferences
26 Sep 2024 by SRP News
The late afternoon session of the Mayer Brown masterclass at SRP Americas 2024 was led by counsel Brad Berman and partner Steffen Hemmerich – they discussed regulatory and compliance issues related to structured products, index providers, distributors and social media.
SRP in brief: expanding landscape
International | Industry
23 Sep 2024 by SRP News
BNPP’s two MDs within the global equities division had role exchanges; VDK Bank made a comeback in Belgium; and Singapore’s DBS sets to offer structured notes tracking the price of Bitcoin and Ethereum.
SEC charges broker-dealer with Reg-BI violations
North America | Regulations & Legal
20 Sep 2024 by SRP News
The US regulator found that the advisor's structured note recommendations violated Reg BI’s compliance obligation
US advisor to pay over US$1.5m for unsuitable sales involving ETNs
North America | Regulations & Legal
18 Sep 2024 by SRP News
The US regulator has charged the RIA and its owner for investing clients’ funds in unsuitable equity-linked structured notes
Digital assets: SEC unlocks the gate for new crypto products, Marex deploys CoinDesk 20 index
International | Products
25 Jul 2024 by SRP News
In our latest crypto round up we look at the latest developments in the digital market including the US regulator's approval of Ethereum ETFs, as well as launches of new products and indices from some of the main players.
US regulator sets out Rila disclosure, advertising rules
North America | Regulations & Legal
02 Jul 2024 by Summer Wang
The SEC has adopted a new registration form and introduced advertisement amendments for registered index-linked annuities (Rilas) after nine months.
SEC: structured notes, EQD represent small portion in fund space
North America | Products
29 Apr 2024 by Summer Wang
A new report issued by the SEC offers new insight on the use of structured notes and derivatives in the US registered funds segment which is worth US$26 trillion in total.
Digital assets: SEC fines crypto structured product provider
International | Industry
02 Jan 2024 by Jocelyn Yang
In this week’s roundup, we also look at Nexo’s new dual investment product and Hong Kong SFC’s new requirements on crypto spot ETF.
