Tag: Advisors
Hilbert acquires UK intermediary with over US$400m in structured products AuM
Europe | Products
23 Sep 2024 by SRP News
The combination of both businesses will establish UK/French structured products boutique as a top five distributor in the UK market.
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
Australia’s Stropro sees record inflows, focuses on FCNs
Asia Pacific | Products
13 Dec 2023 by Jocelyn Yang
Most transactions going through the Australian structured product platform come from private wealth advisers and brokers.
SRP Americas Awards 2023: InspereX - a record year led by rates
North America | Industry
23 Oct 2023 by Summer Wang
InspereX has won the Best Independent Broker-Dealer, USA accolade for the fifth consecutive year at the SRP Americas Awards 2023, presented in Chicago on 27 September.
FCA SDR consumer labels: implications for advisers using ESG structured products
Europe | Regulations & Legal
28 Sep 2023 by Alexandra Mortimer, FVC
In October 2022, the Financial Conduct Authority in the UK (FCA) released its consultation paper on Sustainability Disclosure Requirements (SDRs) and sustainable investment labels.
FCA SDR consumer labels: implications for advisers using ESG structured products
Europe | Expert View
28 Sep 2023 by Alexandra Mortimer - FVC
In October 2022, the Financial Conduct Authority in the UK (FCA) released its consultation paper on Sustainability Disclosure Requirements (SDRs) and sustainable investment labels.
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”.
US platform onboards SMAs, adds interest rate structures
North America | Technology
07 Jun 2023 by Sybil Yorke
Luma has partnered with a US advisor to offer structured note replication strategies and expanded its product coverage.
