A Financial Industry Regulatory Authority official has publicly commented for the first time on the structured product marketing materials used by brokers, singling out mass emails to retail investors...
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The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
PrinceRidge Group distributes structured products to a client base that includes leading broker-dealers across the US. Yakob Peterseil talks to managing director Joe Castelluccio about what he has learned in 35 years on Wall Street
Broker-dealers face significant operational risks, especially when they allow customers direct access – Marcelo Cruz discusses the threats to a critical part of the financial industry
The conversion of over-the-counter energy swaps to futures at Ice has been hailed as a seamless transition, but there is an alternative history – of last-minute decisions, U-turns and confusion that left some market participants scrambling to keep up....
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.
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