Financial industry regulatory authority (finra)
Regulators on both sides of the Atlantic are concerned about the risk of conflicts of interest, OpRisk Europe heard this week. Finra says it's a key concern
Structured products in the US can fall under the jurisdiction of the SEC, state regulators and Finra. Representatives from each were speakers at this year’s Structured Products Americas conference. Richard...
More Financial industry regulatory authority (finra) articles
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 as a particular concern
Finra says year-long approvals process revealed "notable outliers"
The SEC’s Office of Capital Markets Trends finally made good on its promise to write to banks over concerns about exchange-traded notes in February, but some say asking them to tailor disclosure to retail investors shows a fundamental misunderstanding...
The UK’s Banking Reform Bill proposes ring-fencing the five biggest issuers of structured products and prohibiting them from offering deposits. But lawyers say it could make structured deposits’ route to market more convoluted and harder to regulate....
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they published their results. Yakob Peterseil talks to one...
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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