Securities and exchange commission (sec)
The ETN that grew too fast
Credit Suisse’s recent move to suspend issuance of a popular exchange-traded note (ETN) caused the value of the note to whipsaw, and the bank is being asked pointed questions by regulators. Other dealers...
This was the year that Citi finally broadened its distribution model to account for the loss of primacy with once captive distributor Morgan Stanley-Smith Barney, capitalised on the merger with Citi Private...
The US SEC is highly sceptical of the structured products market and higher regulatory standards are on their way, says lawyer
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More Securities and exchange commission (sec) articles
New deputy enforcement head at SEC
New York office chief George Canellos moves to Washington, DC
People: Royal Bank of Scotland lets Stuff go
David Stuff, director in UK sales leaves RBS in redundancy round; Nomura names new head of forex structuring; Morgan Stanley says goodbye to head of structured product marketing; Steven Phan joins Standard Chartered as head of structured equity in Hong...
Whistleblowers given more incentive in US than UK
Comparing the approach to whistleblowing taken in the US and the UK, it seems American informants have more incentive, particularly in monetary terms, to come forward. Should the UK follow the US lead?
Banks offer short-term plays on natural resources
Royal Bank of Canada leads the offering of short-maturity structured products in the US public market with 12 products, half of which have maturities of just three months
SEC appoints associate investment director
Blizzard replaces Robert Plaze
Sigtarp appoints special inspector general
Christy Romero appointed after approval from President and Senate
Market snapshot
Tim Mortimer analyses the supply of public market structured products in the US and UK, finding that Barclays Bank is the only institution that is a top three issuer in each country. Leveraged return notes were the most issued product by notional, while...
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