4b. BD/IA - Recommending Alternative or Complex Products (Intermediate)

Alternative or complex products remain a regulatory focus as they may contain complicated features that could affect investment returns and, potentially, present apparent or actual conflicts of interest.  This session will review the reasonable elements of an effective compliance program for complex products.  The panel will illustrate different types of complex products (e.g. bitcoin ETFs, annuities, non-traded REITs), and address product due diligence, conflicts of interest, disclosures (ADV 2A and point-of-sale disclosures) and sales practices (concentration limits).   This session is open to regulators but closed to members of the press.

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