Tag: SEC
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.
Cryptos: HK family office launches digital assets platform
International | Industry
14 Oct 2022 by SRP News
Raffles Family Office’s platform is purpose-built to help UHWNIs access digital asset-based investments.
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US trade associations urge vote on Rila bill
North America | Products
06 Oct 2022 by SRP News
The bill would lower barriers to retirement income products by requiring the regulator to revise rules regarding developing and offering certain annuity products, including Rilas.
Cryptos: Marex to offer crypto-linked notes via Luma
International | Industry
02 Sep 2022 by SRP News
Luma has partnered with Marex to enable financial advisors to tailor their cryptocurrency-linked notes on assets such as bitcoin and ethereum through the platforms Creation Hub Module.
UBS to pay US$25m to settle SEC charges, investors seek further compensation
North America | Regulations & Legal
01 Sep 2022 by SRP News
The Swiss bank faces claims of alleged unsuitable sales and misrepresentations from a US broker dealer affiliate.
SRP in brief: strong voices
International | Industry
08 Aug 2022 by Amélie Labbe
This past week so a few regulatory developments in some of key markets, as well as the launch of a new player in Switzerland.
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US regulator fines broker dealer for fraudulent structured product sales
North America | Regulations & Legal
03 Aug 2022 by SRP News
The US Securities and Exchange Commission (SEC) has fined New York-based Aegis Capital Corp. US$2.3 million for failing to prevent 14 of its brokers from fraudulently selling unsuitable structured products to investors that included retired elderly clients who lost up to hundreds of thousands.
Barclays profit hit by structured notes blunder, US sales take a dive
International | Industry
01 Aug 2022 by Summer Wang
The UK bank’s profit has been dented as misconduct provision relating to structured notes blunder increases.
Mayer Brown: no need for further index regulation
North America | Regulations & Legal
28 Jul 2022 by SRP News
The law firm believes it would be intrusive for market participants to be regulated as investment advisers.
