The US financial regulator spells out in its annual market outlook the areas at the heart of its oversight

The US Financial Regulatory Authority (Finra) has made clear that sales of complex products, including structured products, must be reviewed to determine if they comply with its suitability rules. The watchdog addresses in its Risk Monitoring and Examination Priorities Letter a variety of issues that must be observed by all broker-dealers, whether or not they offer structured products. This particular asset class is not discussed at length in the letter as the regulator shifted the focus b

Continue reading and get unlimited access for 7 days with a free trial of SRP.

Get a free trial

Already a subscriber? Login