Financial Industry Regulatory Authority (Finra)
Finra and Wall Street dismiss law firm's criticism of UBS case
Finra and Wall Street dismiss law firm's criticism of UBS case
'Media misinformation' is harming US structured products industry
A torrent of misinformation printed by the media and calls from plaintiff law firms for investors to bring claims is damaging the industry, according to structured product bankers and lawyers
Navigating the nuances of ETFs
Navigating the nuances of ETFs
Finra fines Lincoln Financial $600,000 for customer data failings
Finra fines Lincoln Financial $600,000 over info
SunGard launches social media surveillance
Financial services information technology vendor SunGard's social media offering to help with new compliance rules
German investors use ETF products as "short-term investment tools"
German investors use ETF products as "short-term investment tools"
Structured products face a battle of perception in the US
Forbidding landscape
Dallas star Larry Hagman awarded $11.5 million payout
Actor claims Citigroup breached fiduciary duty
Electronic trading: A key to achieving CDS reform
Electronic trading: A key to achieving CDS reform
Brokerage firm penalised for illicit high-frequency trading
Brokerage firm penalised for illicit high-frequency trading
Partially protected: Dodd-Frank Act spares structured products
Registered advantages
Social networking asks new questions of compliance
Companies must follow the varying demands of regulators in social networks, as markets have different obligations.
Seeking equivalence – the NAIC and EC take different stances on Solvency II
The European Commission is firm in its belief that the US insurance regulatory system needs a single figurehead in order to grant it equivalent status under Solvency II – a view not shared by American supervisors. Aaron Woolner reports
Driving in reverse
Despite The Wall Street Journal lambasting equity-linked reverse convertibles as ‘dangerous investments’ and a chorus of bad press culminating in regulatory fines, the products continue to attract capital from the US retail sector. Joti Mangat asks how…
Scrambling for yield
The rebound of credit markets in 2009 enabled product providers to decrease risk as well as offer higher yields to investors in the Americas, using techniques such as multipliers or digital payoffs. The result is an increase in the number of deals,…
UBS fines for misselling structured products could be first of many
UBS has come under fire in a series of court cases in the US for inappropriate sales of Lehman Brothers principal-protected notes and a failure to inform retail investors properly of the risks involved. More cases are likely.
US regulators call for circuit-breakers but exchange risks remain, says expert
Proposed rule changes from Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (Finra) are a good but incomplete solution to operational risk within exchange infrastructures
Finra to gain regulatory power from NYSE Euronext
The Financial Industry Regulatory Authority is to take powers of market surveillance and regulation enforcement from NYSE Regulation.
Structured Products Americas: More mis-selling fines to follow, Finra warns
The US industry's own regulator says its mis-selling investigation may lead to more fines for US companies.
