09/27/2012 09:00 a.m. - 05:00 p.m.
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products, and Structured Products
SIFMA Conference Center120 BroadwayNew York, NY 10271
Anna T. Pinedo and Thomas A. Humphreys
SIFMA’s is pleased to present the Complex Products Forum: Growth, Innovation, Regulation. This full day Forum will address many topics, including: regulatory oversight and guidance, compliance practices, sales to retail investors, and product innovation. We will cover Exchange Traded Products (ETPs), structured products, and alternative investment strategies.
Partner Anna Pinedo will speak on a panel entitled “Complex Products: Changing Regulatory Focus.” The panel will emphasize the importance that customer suitability, financial advisor and investor education and due diligence play in the sale of complex products to retail investors while addressing how the industry can prepare for the future regulation of complex products.
Partner Thomas Humphreys will moderate a panel called “Structured Product Innovation.” The panel will provide an overview of structured product distribution to retail investors.
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