Traditional and Alternative Products: Suitability and Supervisory Issues

TRIAL.COM - FS2013 - Kathy Klock

TRADITIONAL AND ALTERNATIVE PRODUCTS: SUITABILITY AND SUPERVISORY ISSUES

Kathy Klock (Akerman Senterfitt; West Palm Beach, FL) presents at the The Network of Trial Law Firms' Financial Services CLE SuperCourse: Alternative products are attractive to investors as alternatives to conventional products with less favorable returns, but are often complex and opaque to customers as well as the registered representatives and advisors who present them. These factors can lead to inappropriate recommendations and claims of failure to disclose material facts. This presentation will focus on suitability and supervision issues relating to alternative products as well as traditional products, including heightened supervisory and compliance procedures for complex products.

Materials: http://www.trial.com/cle/materials/2013-fs/klock.pdf

PowerPoint: http://www.trial.com/cle/powerpoints/2013-ny/klock.pdf

Тэги:

#trial #trial.com #trialcom #Kathy #Klock #in-house #litigation #management #corporate #Investors #Suitability #advisors

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