As complex investment products become increasingly prevalent in the retail market, attorneys and compliance professionals face heightened challenges in navigating legal risk, regulatory scrutiny, and investor protection obligations.

This 60-minute CLE session—designed for legal and compliance professionals in broker-dealers, investment firms, and regulatory roles—offers a comprehensive look at the evolving supervisory landscape, with a focused examination of Registered Index-Linked Annuities (RILAs) and other emerging products.

This CLE course begins with a current snapshot of the complex product environment and its rapid expansion across retail channels. The session then moves into a detailed examination of RILAs, exploring their structure, market trends, and the unique challenges they present in supervision, training, disclosure, and surveillance.