Name
Case Study #3 - What is the role of Compliance in approving new products or in determining whether existing products should continue to be available to clients?
Date & Time
Wednesday, February 19, 2025, 1:50 PM - 2:25 PM
Description

Case Study #3 

What is the role of Compliance in approving new products or in determining whether existing products should continue to be available to clients? When and how does Compliance get involved with the product groups on their decisions? We are hearing a lot about firm’s interest in Alternative Investments is your firm? If so, how are you determining the risks, appropriate training, etc.?