Life Cycle of Complex Products

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About This Course

This CLE program will provide guidance on alternative investment products and complex products. An “official” definition of a complex product does not really exist, the product “definition” often describes a complex product as one in which the average retail investor may not have the sophistication or experience to understand how the operative features of the product interact with different market conditions and how that interaction may affect potential risk and return. This session focuses on due diligence obligations and best practices in connection with the sale of alternative investments, including private placements, structured products, business development companies, real estate investment trusts (REITs) and limited partnerships. Industry practitioners discuss their practices and procedures when vetting complex products.

After attending this session, you will be able to:

  • Understand trends and developments with complex products.
  • Hear industry and regulatory perspectives from FINRA and SEC regarding complex products.
  • Discuss expectations for firms in selling and supervising these products.
  • Learn how to complete due diligence on these products.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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