B-D Product Due Diligence
1:15 PM – 2:30 PM
Friday, May 18
What is considered sufficient due diligence? To what extent can a BD rely on a third party’s due diligence findings? If clients lose money on an investment, will you be able to defend your offering the product or will the regulators determine you did not dig deeply enough to know there might be problems with the investment.
This session will focus on proper due diligence steps to be taken, how this may vary from product to product, documentation to be obtained and maintained and other due diligence issues. The important concept of product “suitability” will also be discussed.
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