Posts tagged SSP.
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
Burr
Jump to Page
Arrow icon Top

Contact Us

We use cookies to improve your website experience, provide additional security, and remember you when you return to the website. This website does not respond to "Do Not Track" signals. By clicking "Accept," you agree to our use of cookies. To learn more about how we use cookies, please see our Privacy Policy.

Necessary Cookies

Necessary cookies enable core functionality such as security, network management, and accessibility. These cookies may only be disabled by changing your browser settings, but this may affect how the website functions.


Analytical Cookies

Analytical cookies help us improve our website by collecting and reporting information on its usage. We access and process information from these cookies at an aggregate level.