Tag: SEC
Biden’s proposed fiduciary rule sparks backlash
North America | Regulations & Legal
13 Nov 2023 by Summer Wang
A group of 17 associations have asked for extension to comment on the fiduciary rules proposed by President Biden, which seek to tighten sales of indexed annuities that has seen a record growth.
Annuities: Prof Siegel’s index earns SRP accolade, SEC simplifies forms for Rilas
North America | Products
02 Oct 2023 by SRP News
The US SEC has proposed a tailored registration form for Rilas; Farmers debuts FIA; Salt Financial and Nasdaq expand vol control suite; and more.
Digital assets: SEBA gets HK approval-in-principle to offer structured products
International | Products
30 Aug 2023 by Jocelyn Yang & Summer Wang
In this week’s roundup, we look at new developments in the digital assets market in relation to derivatives and structured products including Hashkey’s plan on derivatives as it goes live in HK, Grayscale’s winning over the SEC, the approval granted to Coinbase in the US, and more.
Latest: Stifel advisor faces investor claims over structured notes
International | Industry
24 Aug 2023 by SRP News
A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing several investor complains relating to the sale of structured notes.
US SEC ramps up conduct expectations for broker-dealers
North America | Regulations & Legal
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”.
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”.
Latest: new AMCs launched, SEC releases Reg BI guidance
International | Industry
26 Apr 2023 by SRP News
A Swiss investment firm specialised in the timber industry is pitching a new product seeking to capitalise on changes to established business practices; UBS has listed five new AMCs in South Africa; Citi partners with Qontigo to launch clean energy-linked products; and more.
Latest: UOB debuts fund of structured products in Malaysia
International | Industry
03 Mar 2023 by SRP News
UOB Asset Management (Malaysia) has launched the United Closed-End Series - Strategic Recovery Fund (UCSSRF), the first fund of structured products offered by the asset manager in the country.
Thailand Market Review, Q4 2022: Maybank expands its market presence
Asia Pacific | Market Reviews
31 Jan 2023 by Vanina Kopcheva
Some 4,610 structured products worth THB32 billion ($0.9 billion) were released in Thailand during the fourth quarter of 2022.
