Event

SIFMA Complex Products Forum

October 29, 2014

Litigation partner Ben Indek will moderate the panel for "Compliance and Supervision of Complex Products" at the SIFMA Complex Products Forum in New York.

This session will address regulation, compliance and responsibility of firms when creating and distributing complex investment products to meet the financial needs of retail investors.

Topics to be covered include:

  • Red flags, reporting and risk
  • Field enforcement
  • Product training of supervisory personnel
  • Partnering with product and sales teams

When:
Wednesday, October 29, 2014
1:00–1:50 pm

Where:
SIFMA Conference Center
120 Broadway, 2nd Floor
New York, NY