Tag: complex products

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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Complex trading products continue to be a focal point for regulators. Frequently, the products being marketed to investors are designed for a specific purpose such as trading under certain conditions or to moderated the impact of specific market trends. Before …

Complex Products, A Recurring Enforcement Theme Read More »

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