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, ...
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 ...
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 ...
Attorney Thomas Gorman from Dorsey Whitney, an expert on SEC enforcement, Dave Nadig, financial futurist at ETF Trends, and Kim Arthur, CEO at Main Management, discuss the Financial Industry ...
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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