Year: 2022

Complex financial products continue to present difficult issues for the Commission. In many instances the products involved are so complex that is may be questionable if any amount of policies, procedures and disclosure will be sufficient to support a suitable …

Complex Products: In Need of A Solution Read More »

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The debate at the Commission as July sizzled to a close is over complex products. The agency has brought enforcement actions in this area when investors purchased complex products recommended by a market professional and the firm’s policies and procedures …

This Week In Securities Litigation (August 1, 2022) Read More »

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