Lookback: SEC disputes Iosco complex definition

Lookback

us-sec

In a speech at the SEC Speaks conference on February 22, commissioner Daniel Gallagher alluded to a recent regulatory spat between the Securities and Exchange Commission (SEC) and the International Organization of Securities Commissions (Iosco) over a report on complex financial products. The disagreement was sparked when Iosco published a report aimed at regulators in which it offered nine principles for determining when a complex product is suitable for an investor. A day later, the SEC posted

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