Complex Products Forum: Growth, Innovation, Regulation
September 27, 2012
New York
New York, NY
Event Overview
SIFMA's Complex Products Forum: Growth, Innovation, Regulation addressed many topics, including: regulatory oversight and guidance, compliance practices, sales to retail investors, and product innovation. The full-day event also featured Exchange Traded Products (ETPs), structured products, and alternative investment strategies.
Prepared Remarks
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Keynote Speaker Richard G. Ketchum, Chairman and CEO, FINRA, addresses the need for consistent supervision at every stage in distribution and sale of complex products.
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Sonia Mata, Senior Research Analyst, Fund Innovation, Strategic Insight an Asset International Company, discusses timely identification of newly emerging trends in product development and its importance to member firms.
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The MANAGING COMPLEXITY IN THE ERA OF INNOVATION panel shares their knowledge, processes, and success in defining and distributing complex products to retail investors.
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The COMPLEX PRODUCTS: CHANGING REGULATORY FOCUS panel emphasizes the importance of customer suitability, financial advisor and investor education, due diligence, and the role they play in the sale of complex products to retail investors.
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The EXCHANGE TRADED PRODUCT INNOVATION panel discusses the evolution of ETPs, new strategies for today's investors, and their commitment to educating financial advisors.
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The STRUCTURED PRODUCT INNOVATION panel provided an overview of structured product distribution to retail investors.
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Susan Axelrod, Executive Vice President and Head of Member Regulation, Sales Practices & Exams, FINRA, addresses the SIFMA Complex Products Forum attendees.
Presentations
Sonia Mata: Key Trends in Mutual Fund Product Innovation: Beyond Traditional Strategies
Laura Morrison: Exchange Traded Products Innovation
SIFMA on Twitter
@finra CEO Ketchum on Complex Products: important to give investors product choice, w/safeguards bit.ly/NZtEwP #SIFMA
— SIFMA (@SIFMA) September 27, 2012
#SIFMA Complex Products Forum: "Research shows adoption of complex strategies by retail investors will fuel growth"
— SIFMA (@SIFMA) September 27, 2012
#FINRA asking brokerages abt conflicts tied to complex products: reut.rs/RkQUKb @reuters #ETFs #SIFMA
— Suzanne Barlyn (@SuzanneBarlyn) September 27, 2012
How is #WallStreet training its staff on sales of structured products?#FINRA wants to know:reut.rs/P9W3kt @reuters #SIFMA
— Suzanne Barlyn (@SuzanneBarlyn) September 27, 2012
Interesting, SEC will now investigate firms based on competitors' misdeeds reuters.com/article/2012/0… (via @suzannebarlyn) #SIFMA #Regulation
— Ryan Gorman (@GormoJourno) September 27, 2012
