Financial industry regulatory authority (finra)
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...
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...
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More Financial industry regulatory authority (finra) articles
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...
The Securities and Exchange Commission finds itself in conflict with fellow regulators the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority, while a recent pronouncement on benchmarks appears to contradict a global...
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
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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