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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