Structured Products: A Compliance Bootcamp

12 Aug 2014 08:30 a.m. - 10:00 a.m.

Morrison & Foerster, LLP
250 West 55th Street
New York, NY 10019

Please join our Morrison & Foerster lawyers for this 90 minute bootcamp covering a comprehensive review of the most pressing compliance and regulatory issues for issuers, underwriters and distributors of structured products. Topics of discussion include:

  • Knowing Your Distributor Practices;
  • Negotiating MSDAs;
  • New Product Approval/Index Approval Policies and Procedures;
  • Index Governance and Compliance Concerns - Conflicts of Interest Policies;
  • FINRA Communication Rules; and
  • Distributor Liability.




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