Structured Thoughts: News for the Financial Services Community, Volume 9, Issue 7

10 Dec 2018

In this issue of Structured Thoughts, we discuss:

  • FINRA's December 7, 2018 release of its report describing its examination findings. A number of FINRA’s findings in the report directly relate to the structured products industry, and should be carefully considered by both manufacturers and distributors of these products.
  • The European Supervisory Authorities, the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority published a letter they sent to the European Commission dated October 1, 2018 in relation to KIDs for investment funds. 

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