The Investment Funds Technical Advisory Committee will focus on technical compliance issues
The case is its first involving misstatements and omissions by an issuer of structured notes, the SEC says
Complicated payoff structures can make it difficult for investors to assess value, risk and the potential for growth
The group’s mutual fund quotation service is now pricing structured notes and market-linked certificates of deposits
Senior management to continue with new owners, Aston Hill
Report examines alternative investment funds and structured products sold to retail investors
Proposed toolkit sets out potential regulatory approach to retail structured products
IIROC panel says rep recommended a structured product without fully understanding it
CNSX plans to be Canada's primary exchange for debt securities
Review finds weaknesses remain in the way firms are designing and approving structured products, increasing the risk to consumers