SEC targets ‘switching’ of structured products

Some brokers encouraging retail investors to sell their structured product prior to maturity to move into a similar product, boosting commissions

SEC headquarters

US regulators are investigating the practice of switching – where an investor is encouraged to sell a structured product prior to maturity and use the proceeds to buy a largely similar instrument – amid concerns some retail customers are being exploited.

The US Securities and Exchange Commission (SEC) is concerned that unscrupulous brokers and financial advisers are encouraging switching into products that offer little to no additional benefit to the end-investor in order to reap further sales

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