UBS Financial Services has been fined $2.5 million for misleading investors in its sales of Lehman Brothers structured products in 2008, according to the Financial Industry Regulatory Authority (Finra ...

NEW YORK, March 29 (Reuters) - Principal-protected notes, complex securities that are marketed as carrying a money-back guarantee, are starting to spring back to life after having lost much of their ...

FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected ...

HONG KONG, Aug. 04, 2023 (GLOBE NEWSWIRE) -- Hywin Holdings Ltd. ("Hywin Wealth" or "Hywin") (NASDAQ: HYW), a leading independent wealth management service provider in China, Leonteq Securities AG ...

Waiting for interest rates to rise has become akin to waiting for the construction on your favourite route to finish; you know it will happen one day, but the wait is becoming intolerable. Fortunately ...

HONG KONG, April 11, 2023 (GLOBE NEWSWIRE) -- Hywin Holdings Ltd. ("Hywin Wealth" or "Hywin") (NASDAQ: HYW), a leading independent wealth management service provider in China, Leonteq Securities AG ...

Principal-protected retail equity-linked notes are back in vogue in Asia as global uncertainty triggers greater investor caution. "As the interest-rate and political situation [in the Middle East] ...

TORONTO, June 2 (Reuters) - The Canadian government said on Monday that banks selling principal-protected notes will have to provide better information to consumers about fees and risks, as these ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...

Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected "worst-of" ...

Investment income will become part of the city's financial resources and can be used for the budget, future capital plans and ...