Complex Products and Alternative Investments

SKU: FIN8400

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About This Course

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers.

Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effective due diligence, training, supervision and surveillance to minimize risks. Upon completion of this CLE, you will be able to: Understand the latest regulatory developments related to alternative investments. Explain FINRA’s Private Placement rules. Discuss due diligence requirements and industry practices when recommending private placement and REIT securities. Review effective practices when vetting complex products. Assessing the features, risks and benefits of packaged products, exchange traded products, general securities, complex and alternative products. Implement training guidelines, supervision and surveillance programs. Understand regulatory expectations, examinations and enforcement trends. Understand the latest regulatory developments related to alternative investments. Discuss crowdfunding and Reg A+ challenges. Understand product features.

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