Lookback: SEC disputes Iosco complex definition



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

To continue reading...

You need to sign in to use this feature. If you don’t have a Risk.net account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: