A matter of principles

Five trade associations have produced a set of guidelines aimed at clarifying the responsibilities of manufacturers, issuers and distributors in relation to the investors who buy retail structured products. The principles are intended to pre-empt regulatory interference, as well as focus attention on the relationship between the sales forces and end-users. Richard Jory reports


It has taken nearly three years for the retail structured products industry to come up with a series of guidelines that will define the professional relationships that exist between inception and sale. But now, five leading trade associations have produced a list of 10 principles that take account of various regulatory concerns and define best practice in the sector.

The principles were drafted by the five trade associations earlier this year, but were approved only after the Structured Products

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