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Alternative Investments and Complex Products

Total Credits
0.75 - 1
  • Instant Online Access
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This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges.

After attending this session, you will be able to:

  • Understand the latest regulatory developments related to alternative investments and complex products
  • Discuss due diligence requirements and industry practices when recommending private placement and REIT securities
  • Develop effective practices when vetting complex products

Lecturer Bios

Kelly Rock, Esq.

Kelly Rock, Esq. has nearly 18 years in regulatory enforcement and brings expertise and powerful insight into complex financial products and emerging products and risk areas. Ms. Rock serves as Senior Counsel in CFI, the Complex Financial Instruments Unit of the Division of Enforcement, at the Securities and Exchange Commission. Ms. Rock has spent the past decade in CFI, investigating and recommending Enforcement actions related to, among others, TRS, RMBS, ETFs, ETNs, Leveraged Loans, Investment Adviser Funds, Pooled Investment Vehicles, Opportunity Zone Funds, and structured and complex products involving digital assets. Ms. Rock is an ongoing contributor to the Division of Enforcement’s training program.

She authored and presented on a variety of topics, both agency and division-wide, including leveraging technology and data analytics to support investigations, the use and implementation of Artificial Intelligence platforms, and the use of complex products and trading strategies.

Ms. Rock has recommended dozens of Enforcement recommendations over her career, including maters arising from CFI’s broader case initiatives involving RMBS and volatility linked ETPs. She has been named in numerous press and litigation releases. During her tenure at the SEC, in addition to Division Director’s awards, Ms. Rock received the Enforcement Award for Excellence in Information Technology, and she was also commended with the SEC’s Award for Community Service. Prior to joining the SEC, Ms. Rock was a commercial litigator with the law firm Milbank, Tweed, Hadley and McCloy.

She graduated from the University of Texas School of Law with distinction, she has a masters from Columbia University, and is a proud alum of St. John’s College in Annapolis, Maryland.

Brad Anderson

Brad Anderson is the Chief Compliance Officer at DFPG Investments, a small retail dual-registrant headquartered in Salt Lake City, UT. DFPG is known within the industry for expertise in alternative investments. Mr. Anderson is the co-founder of the SLC Compliance Roundtable and an advocate for professional development within the securities compliance industry.

Mr. Anderson serves on the editorial board of the NSCP Publications Committee, in addition is FINRA's West Region District 3 representative. Over the course of his career including compliance and supervision roles at Fidelity and a tour in the United States Marine Corps. Mr. Anderson has taken what he has learned and applied to become a more effective compliance professional. In particular, Mr. Anderson has a keen appreciation for the human element in compliance.

Thomas M. Selman,

Thomas M. Selman, CFA is Founder of Scopus Financial Group, the premier source for customized research and professional services to asset management companies, broker-dealers, investment advisers, trade associations and other clients. Scopus develops a thorough understanding of each client’s business and guides the client in a manner tailored to its needs. Before his retirement in 2020, Mr. Selman was Executive Vice President, Regulatory Policy, and Legal Compliance Officer of FINRA.

He oversaw the departments of Corporate Financing and Advertising Regulation, the Office of Financial Innovation, and the Corporate Office of the General Counsel. Mr. Selman joined FINRA in 1996. Mr. Selman also holds the Chartered Financial Analyst® designation.

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