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Sutherland Partner Michael B. Koffler is speaking on a BD Week Webinar entitled "Best Practices for Approving New Products In a Time of Volatility" on September 15, 2009. The Webinar will provide best practices for vetting new products, tips for performing due diligence and advice on how to set up a product certification process for complex products.
Regulators have made it clear they will closely examine what kinds of new products are coming onto the market and will look to see how those products are promoted and the adequacy of their disclosures. It’s not just product originators that will be under regulators’ gazes. Promotional materials used by downstream firms will be scrutinized, too. And the new head of FINRA, Richard Ketchum, has said firms should look at their list of new products and make some hard decisions about whether they’re still appropriate in the current market.
For more information and to register for this event, click here.