Securities and exchange commission (sec)
Credit Suisse’s recent move to suspend issuance of a popular exchange-traded note caused the value of the note to whipsaw, and the bank is being asked pointed questions by regulators. Other dealers accuse...
Richard Jory reports from the Structured Products Americas conference in Miami
Losses in London-based chief investment office claim first casualty, JP Morgan drafts in fixed income co-head to steady the ship; Coutte becomes latest senior figure to leave SG CIB's fixed income and...
More Securities and exchange commission (sec) articles
Around 120 firms will be classed as swap dealers under the Dodd-Frank Act, US regulators estimate – but hundreds more will be uncertain whether they are caught or not. Answering that question may not be easy, lawyers warn. Peter Madigan reports
Wells Fargo note offers guaranteed return of 7% plus principal as a raft of energy and natural resource-based reverse convertibles are filed with the SEC
Bank shares continue to form the basis of many structured product filings with the US Securities and Exchange Commission
New York Fed will "stand down" as the CFTC and SEC "stand up", says New York Fed president
Of the 91 structured products filed last week with the US Securities and Exchange Commission, more than 40 were reverse convertibles and nine were digitals. Financials and tourism were the most popular underlyings
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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