9b. ALL – Offering Complex Products (Intermediate)

A firm’s decision to make alternative and/or complex products available involves several considerations.  Compliance plays an integral role when a firm introduces new products and this panel will review the regulatory, risk, and business issues that need to be addressed with respect to alternative and complex products.  Incorrectly navigating this process at the outset could result in complaints, regulatory inquiries, or worse!  This session is open to regulators but closed to members of the press.

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