Tag: Broker-dealers
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”.
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.
Simon bolsters US footprint with record growth
North America | Industry
25 Nov 2021 by Lavanya Nair
The US multi-dealer platform has announced record increases in its structured investment broker-dealer volumes.
Buy-side view: 2020 increased investor appetite for AMCs
International | Indices
02 Jun 2021 by Pablo Conde
Market participants who considered ‘black swan’ events almost improbable witnessed the March 2020 crash first-hand.
Kiatnakin Phatra Securities’ sales plunge
Asia Pacific | Products
12 Apr 2021 by Summer Wang
The largest player of structured notes in Thailand has decreased its issuance to a record-low of 1,518 with a sales volume of THB8.9 billion (US$286m), a market share of 18%, according to SRP data.
HPC IP: change of guard triggers product expansion
Europe | Industry
03 Nov 2020 by Pablo Conde
Anglo-French structured products specialist boutique HPC Investment Partners (HPC IP) is entering a new phase following the departure of founders Pierre Yves Breton, Jordan Sfez and Arthur Texeira earlier this year, and the appointment of David Zajdman as head of sales & institutional solutions.
Buy-side view: playing the pre-IPO market
International | Industry
16 Oct 2020 by Pablo Conde
Investment banks are creating new teams to trade the shares of pre-IPO giants including SpaceX, Robinhood and Airbnb. Specialist boutique HPC Investment Partners has been offering access to these underlyings via structured products for some time, in response to institutional demand.
SEC’s new best interest standard causes confusion
North America | Regulations & Legal
14 Jun 2019 by Amélie Labbe
The Securities and Exchange Commission’s (SEC) new best interest rule for broker-dealers has stirred some controversy in the US investment community.
