Financial Industry Regulatory Authority (Finra)
ISSA standards seek to stamp out cross-border custody crime
Principles also target misdeeds in settlement and distribution of securities
Harvest looks to reap investor-targeting benefits
But social media site for hedge funds creates compliance challenges
Geek power: market regulators make creative use of technology
Financial policing takes on a touch of Silicon Valley glamour
Finra maintains scrutiny of retail structured products
Regulatory body to focus on rate-sensitive products and protection for retail clients
Finra open to projections in structured products
Regulators and issuers at odds over backtesting versus projections
Backtesting is not the way forward for structured products
Projections represent the only way forward
Backtesting has a place in structured products market
Regulatory panel suggests backtesting internally is best practice
Ex-SEC chair Walter joins Finra board, and other recent job news
Four new members for Finra board as existing members stand down
Conflicts of interest a key concern for Finra
Management of conflicts of interest needs attention, says regulator
More 'adult supervision' needed, SEC's Muoio tells conference
Regulation the main topic at Structured Products Americas
Finra: poor controls around HFT a big concern
HFT operational monitoring a real issue
Finra rejects ‘more than half’ of structured product adverts
‘Blast emails’ to retail investors a major offender under Rule 2210
FCM models for CDS portfolio margin "varied widely"
Finra says year-long approval process revealed "notable outliers"
SEC mistaken to assume ETNs are retail products, say critics
Regulator urged to focus on sophisticated and institutional investors
Structured deposits face uncertain future under UK ring-fence plans
Caught in the net
Finra bears down on complex structured products
Topping the regulator's list of priorities for 2014 is ensuring that US brokers make adequate enquiries before offering complex products to retail investors
Structured products can underperform a simple stock and bond portfolio, study finds
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…
Finra names Rufino head of member regulation
People: Finra names head of member regulation
SEC at odds with Finra over Pip data
Agree to disagree
Finra targets conflicts of interest in structured products industry
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 banks on the lure of low-risk investment
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
Changing hats – June 2013
Changing hats – June 2013
SEC’s Amy Starr: US banks must comply with estimated value guidance “in very short order”
Banks that do not promptly disclose the estimated value of their structured notes risk additional scrutiny, says regulator
Law firm of the year: Davis Polk & Wardwell
Law firm of the year: Davis Polk & Wardwell