About This Course
This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification.
After attending this session, you will be able to:
- Discuss industry trends with regards to new products.
- Review due diligence process when on-boarding new products.
- Establish product training in your own firms.
- Learn about new investment product development.
- Identify risk associated with developing new products.
- Review and understand disclosure requirements.
- Learn about product features of alternative investments.
- Understand and apply FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) in your firm.
- Learn about supervision and due diligence requirements for complex products, including business development companies, private equity and real estate investments.
- Discuss current industry practices when vetting complex products.