Complex financial products continue to present difficult issues for the Commission. In many instances the products involved are so complex that is may be questionable if any amount of policies, ...
NI (formerly National Instruments), headquartered in my hometown of Austin, Texas, is a company I've been following for a long time. In 2020, National Instruments shortened its name to 'NI' along with ...
On December 8, 2025, the French financial markets authority (Autorité des marchés financiers or AMF) issued an adaptation of its positions 2010-05 and 2013-12 governing the marketing of complex ...
NEW YORK(Thomson Reuters Regulatory Intelligent) - The U.S. Securties and Exchange Commission will study investor risk posed by so-called complex investment products with an eye toward new regulations ...
FINRA opened for comments on a potential rule to regulate “complex products,” and investors made their feelings crystal clear. More than 800 commenters expressed opposition to the regulator’s queries ...
The regulator is assessing the risks that may arise when retail investors purchase complicated investments without the help of a financial adviser. By Mark Schoeff Jr. As investors gain more access to ...
The Monetary Authority of Singapore (MAS) has proposed new measures to improve investor disclosures and simplify regulatory requirements for complex financial products, in a move aimed at balancing ...
The Securities and Futures Commission (SFC) has reprimanded and fined Saxo Capital Markets HK Limited (SCMHK) USD510,000 (HKD4 million) for distributing virtual asset (VA) funds and related products ...
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