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SIFMA Complex Products Forum

October 29, 2014

The Complex Products Forum is a collaborative event that brings together regulators, distributors, and manufacturers to discuss the issues, challenges, and opportunities related to the sale of complex products to retail investors.

This full-day program will examine:

  • Reasonable-basis suitability and innovative investment products
  • Due diligence process when on boarding new products
  • Ongoing supervision and oversight best practices
  • New product training and how it can create a culture of compliance

Why you should attend:

  • Deep dive into defining “complexity”
  • Learn about new investment product development
  • Discuss current regulatory landscape and enforcement program priorities
  • Network with experts and peers at participating firms


October 29, 2014
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