structured products

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  Goldman Sachs to Offer Structured Products to RIAs on CAIS-X

  By Joyce Hanson, AdvisorOne  |  February 28, 2013

  CAIS co-founder and president Rafay Farooqui, who started his career at Goldman, says structured products are a natural extension of CAIS' current offerings.

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  SEC’s 16 Biggest Penalties Since Financial Crisis

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  The SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.

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  FINRA Updates Guidance on Communications With Public

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

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  What’s Next in ETFs? Morningstar’s Burns Gives Exclusive Peek

  By John Sullivan, AdvisorOne  |  June 21, 2012

  Despite a recent promotion to mutual fund research director, Scott Burns sounds off on ETF space.

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  FDIC Warns on Risks of Market-Linked CDs

  By Gil Weinreich, AdvisorOne  |  May 22, 2012

  A new consumer alert from the FDIC on market-linked CDs, one of the most popular structured products, counsels investors not to let the possibility of higher returns obscure their view of the risks.

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  SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio

  By Melanie Waddell, AdvisorOne  |  March 15, 2012

  Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.

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  Top Portfolio Products: Expanded IPO Indexes; New Australian Equity Trust; Filing for Van Eck-HOLDRs Deal

  By Marlene Y. Satter, AdvisorOne  |  October 3, 2011

  Vanguard changes 10 funds; First Trust fund looks for IPO; Grandeur Peak to launch two funds; and Castle Investment Management cuts expense ratio.

• Barclays Introduces Guaranteed Product Based on FTSE Hedge Index

  By Staff Writer  |  September 10, 2004

  NEW YORK (HedgeWorld.com)--Woolwich Plan Managers, part of London-headquartered Barclays Group and a provider of structured products in the United Kingdom, launched Woolwich Protected FTSE Hedge Plan, a 100% capital-protected vehicle meant to give retail investors access to hedge funds. For a minimum investment of ?3,000 (US$5,377), investors get two-thirds of...