SEC warns structured note issuers over proprietary indexes
A senior SEC official has warned US issuers that it is closely monitoring the current uptick in the sale of structured notes tied to proprietary indexes
A senior regulator at the Securities and Exchange Commission (SEC) has warned US banks that it is scrutinising the sale of structured notes tied to proprietary indexes, arguing that dealers' sales networks may not understand the payout profiles of the products they have been tasked with selling.
Giving the keynote address at the Structured Products Americas conference in Miami on May 14, Amy Starr
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