Structured Products Washington D.C. 2015

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

The 3rd annual Structured Products Washington D.C. conference returns to the capital on November 5th, with the program showcasing the latest developments in the legal, regulatory and compliance landscape for structured products. We are delighted to welcome a host of key industry regulators who will answer some of your burning questions with regards to recent and upcoming regulatory changes in the structured products and derivatives industry.

Speaker line-up includes:

  • Sean Davy

    Sean Davy,
    Managing Director, SIFMA

  • Michael Coe

    Michael Coe,
    Assistant Director, Division of Trading and Markets, U.S. SECURITIES AND EXCHANGE COMMISSION

  • Dave Roscum

    Dave Roscum
    Manager, Advertising Regulation Department, FINRA

  • Reid Muoio

    Reid Muoio,
    Deputy Chief, Structured New Products Unit, Division of Enforcement, U.S. SECURITIES AND EXCHANGE COMMISSION

  • Mark Fernandez

    Mark Fernandez
    Senior Regional Counsel, Department of Enforcement, FINRA

Key themes for 2015:

  • Disclosures, pricing, new products and emerging issues
  • The SEC update on new and exchange traded products
  • Marketing derivatives and structured products
  • Index governance and maintenance
  • Bank regulatory issues affecting structured notes issuers
  • Enforcement issues relating to structured products
  • Tax developments
  • Investment Company Act and Advisers Act issues
  • Suitability, KYD and other compliance issues
  • Preparing for a FINRA or OCIE exam compliance basics

 

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