Regulatory Initiatives Affecting Structured Products


07/27/2011 11:00 a.m. - 12:00 p.m. EDT

Corporate Finance | Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Institutions | Europe, Securities Offerings | Europe, and Structured Products


Christie Adams
(212) 336-4024

Investors continue to find structured products attractive investments. Growth in the structured products market and renewed focus on investor protection issues has led to increased regulatory scrutiny. Speakers will discuss key regulatory developments that may affect the U.S. and the EU market for structured products, including FINRA guidance in the United States relating to structured products; know-your-customer; suitability and fiduciary duty issues; disclosure considerations; the potential impact of Dodd-Frank on structured products; the importance of the Key Information Document; EU Packaged Retail Investment Products (PRIPs) initiative; the FSA’s Product Intervention paper in the UK; and other emerging issues.

CLE and CPD credit is pending.

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