Value for money testing as part of investor protection has become a central focus for regulators in recent years.

In...
More

In April 2023 the US Securities and Exchange Commission (SEC) published a Staff Bulletin entitled “Standards of Conduct for...
More

The UK regulator Financial Conduct Authority (FCA) is at an advanced stage of implementing its new “Consumer Duty” directive. This...
More

The European PRIIPs regulation is one of the most ambitious and wide-ranging initiatives in investor protection ever seen. It was...
More

In March 2022 US regulatory body FINRA published a notice (reference 22-08) on complex products. This was the first major...
More

In April 2021 the European Securities and Markets Authority (ESMA) published its annual statistical report on the performance and...
More

The UK will exit the transition arrangements it has with the EU at the end of 2020. As has been covered extensively on a daily basis...
More

The important PRIIPs regime has had another difficult year in 2020. This ambitious regulation came into force at the start of 2018...
More

The Eurostoxx 50, Kospi 200 and the S&P 500 indices were the three most popular indices used as underlying assets for structured...
More

On 8 November 2018, The European Supervisory Authorities (ESAs) published their proposed amendments to the PRIIPs regulation which can...
More