Tag Archives: Products

FCA consults on restricting contract for difference products sold to retail clients

On 7 December 2018, the FCA published Consultation Paper 18/38: Restricting contract for difference products sold to retail clients and a discussion of other retail derivative products (CP18/38). Earlier this year the European Securities and Markets Authority (ESMA) introduced a … Continue reading

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Draft Packaged Retail and Insurance-based Investment Products (Amendment) (EU Exit) Regulations 2019

On 22 November 2018, HM Treasury published a draft of The Packaged Retail and Insurance-based Investment Products (Amendment) (EU Exit) Regulations 2019, together with explanatory information. The draft statutory instrument is part of the wider work the UK Government is … Continue reading

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AT AMAZON, Best Selling Products – Updated Every Hour. Plus, Shop Amazon Warehouse Deals – Deep D…

AT AMAZON, Best Selling Products – Updated Every Hour. Plus, Shop Amazon Warehouse Deals – Deep Discounts on Open-box and Used Products Read more detail on Recent Law Professor posts –

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AT AMAZON, fall savings in Automotive. Plus, deals on Office Products….

AT AMAZON, fall savings in Automotive. Plus, deals on Office Products. Read more detail on Recent Law Professor posts –

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Advisor Alex Herrera Barred Over Sale of Unapproved Products

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. (UBS) in Coral Gables, Florida was barred by FINRA.  In the regulatory action FINRA claimed that … Continue reading

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