SIFMA Complex Products Forum

29 Oct 2014

SIFMA Conference Center
120 Broadway, 2nd Floor
New York, NY 10271
Harrison Lawrence
(212) 336-4004

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.

Topics to be covered:

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

SIFMA will provide CLE credit.




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