Financial industry regulatory authority (finra)
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...
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More Financial industry regulatory authority (finra) articles
The US regulator has published a report saying issuers and sellers should be doing more to manage conflicts of interest that arise when deciding which products to sell and to whom
Huntington National Bank was founded in Ohio, where it remains headquartered to this day. Yakob Peterseil talks to Dave Fitzsimmons, Pittsburgh-based managing director of the equity derivatives group, about being a big bank with a long tradition
Banks that do not promptly disclose the estimated value of their structured notes risk additional scrutiny, says regulator
Davis Polk & Wardwell's transactional work during 2012 - when it advised on 2,100 offerings, worth $32 billion, or an average of 40 per week - would have been impressive in any year. But as the firm's clients will tell you, 2012 was not any year. When...
In its latest letter, the SEC orders banks to highlight the difference between fair market value and issue price to help investors see what their investment is worth
Exchange-traded products attracted $263bn in 2012; Finra sets out new priorities; Credit Suisse admits swap-based funds no longer tax efficient; Lyxor launches gold ETF
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
USA, 9th Dec 2013
USA, 10th Dec 2013
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
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