Regulation, Legal and Compliance Issues Affecting Structured Products

Real and to the point for every day's business
Executive, RVM Enterprises Inc
If working in structured products is like walking through a minefield, then this conference is the map to that minefield and well worth attending!
President, CIM Advisers,LLC
It was one of the best conferences I've attended on structured products (since attending these more than 10 years ago). Well done!!


This website contains information relating to the 2014 event. To be informed as soon as details on the 2015 conference are available please complete a remind me form here

Following the success of 2013, Structured Products is delighted to be returning to Washington this November to host its second forum focusing on developments in the legal, regulatory and compliance landscape for structured products. If you couldn't attend last year then this is your opportunity to join this seminar entirely focused on all aspects of legal and compliance issues affecting structured products. The comprehensive event brings together the regulatory community with structuring, marketing, legal and compliance personnel within the structured products and derivatives industry.

With input from representatives from the Office of Capital Market Trends, the Enforcement, OCIE and Investment management divisions of the U.S. Securities and Exchange Commission (SEC), and the advertising regulation and emerging regulation departments of FINRA, plus state regulators, industry bodies, legal firms and in-house counsels, this half day forum consisting of roundtable discussions and presentations, followed by an afternoon of intensive workshops where you can follow the track most relevant to your own business, provides a critical opportunity to gain key insights on the ever-changing regulatory landscape, drill down into the key regulation changes for structured products and derivatives and prepare for the year ahead.


                    >>> View the program here


Key topics:

  • Enforcement and disclosure issues
  • Product suitability
  • Dodd-Frank: the effect on the structured products industry
  • Marketing derivatives and structured products
  • Advertising regulation issues: retail communications, marketing materials
  • New product approval: reasonable basis suitability determinations, policies and procedures
  • Dealing with distributors: KYD policies, MSDA, rebates, training and misselling
  • Disclosure issues: estimated value, variable priced deals, index related disclosures
  • Taxation of financial products: FATCA, tax regulation changes



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