Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Broker-Dealer Compliance + Regulation, and Financial Services
SIFMA Conference Center
120 Broadway, 2nd Floor
New York, NY 10271
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.
Partner Anna T. Pinedo will moderate a panel entitled “Complex Products: Changing Regulatory Focus.” Panelists will include Sarah Gill (LPL Financial), Laura H. Posner (New Jersey Bureau of Securities), Mike Rufino (FINRA), and Robert N. Sobol (TD Ameritrade). The panel will emphasize the importance customer suitability, financial advisor and investor education and due diligence play in the sale of complex products to individual investors while addressing how the industry prepares for continued regulation of complex products. The following questions will answered by the panel:
Partner Jay G. Baris will speak on a panel entitled “Regulatory Enforcement Overview: Complex Products 4.5 Years Later.” This session will address regulation, compliance and responsibility of firms creating and distributing complex investment products to suit the financial needs of retail investors. Topics will include:
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