Regulation, Legal and Compliance Issues Affecting Structured Products


Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Structured Products, Derivatives + Commodities, and Federal Tax

Washington Marriott at Metro Center
775 12th Street NW
Washington, D.C. 20001

Lloyd S. Harmetz

Lloyd S. Harmetz


This conference will provide a strong focus on the most recent developments in the U.S. regulation landscape for structured products. MoFo lawyers Lloyd Harmetz, Anna Pinedo, Bradley Berman, Dan Nathan and Remmelt Reigersman will each lead a bootcamp class.

Bootcamp topics include:

  • Bootcamp 1: New product approval: We will discuss FINRA’s guidance; what it means for market participants; industry standards for new product approval processes and procedures; and how FINRA’s guidance relating to investor suitability comes into play.

    For presentation materials, click here.
  • Bootcamp 2: Dealing with distributors: We will discuss know-your-distributor policies and practices, training for distributors, allocation of responsibilities as between product manufacturers and distributors, and structuring dealer relationships.

    For presentation materials, click here.
  • Bootcamp 3: Disclosure issues: We’ll discuss estimated value disclosure;  issues in deriving those numbers; variable price reoffering disclosure practice; and some of the unique disclosure issues raised by the use of novel or proprietary indices.

    For presentation materials, click here.
  • Bootcamp 4: Other compliance concerns: The compliance Kitchen-Sink presentation: We’ll address everything from training policies for structured products marketers, to policies relating to monitoring product concentration in customer accounts, secondary market repurchases and trading in and out of products.

    For presentation materials, click here.
  • Bootcamp 5: Taxation of financial products: This session will provide an update on recent federal income tax developments involving financial products including a discussion of the mark-to-market proposal for financial derivatives that is being floated in Congress as part of fundamental tax reform and an update on FATCA.

    For presentation materials, click here.

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