An Arizona advisor who placed nearly all client assets in equity-linked notes has been barred from the industry for at least three years and will pay $1.6 million in disgorgement and penalties, the ...

South Korea’s financial watchdog has sent a preliminary notice to five banks over improper sales of equity-linked securities, which local media reported could result in some $1.4 billion of penalties.

SCG Asset Management, an asset manager based in Nashville, Tenn., is relaunching a fund it took over last year, but is now using a new strategy for the product, one that creates a diversified ...

"More people are paying attention to credit risk than before, so it is true that the subset of investors that are being particularly prudent has increased," says Alberto Cherubini, head of exotic ...

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 ...

11 Mar 2024 (Johannesburg Stock Exchange) Investec Bank Limited has announced the expiry of its Equity Linked Note (ELN) under the JSE code IBLIIJ, tied to the MSCI World Net Total Return USD Index.

The Securities and Exchange Commission charged registered broker/dealer First Horizon Advisors. with a Regulation Best Interest violation related to the firm’s recommendations of a type of structured ...