Posts tagged Risk Alert.
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OCIE Warns on Suitability in Retail Sales of Structured Products
The SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a recent "Risk Alert" noting observed deficiencies in broker-dealer supervision and compliance controls over retail sales of structured products - especially structured notes. Structured Securities Products ("SSP's") often are principal obligations of BD affiliates, offering exposure to particular underlying asset classes and typically having fixed-income characteristics with embedded derivatives. Examples include principal-protected notes and reverse-convertible notes. SSP's ...
Posted in: OCIE, SEC
Tags: burr forman, finra, National Senior Investor Initiative, OCIE, Office of Compliance Inspections and Examinations, Risk Alert, SEC, Securities and Exchange Commission, securities litigation, Securities Litigation & Arbitration, SSP, Structured Securities Products
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