An Overview of Complex Products

Overview

This course examines complex products including securities or investment strategies with novel, complicated, or intricate derivative-like features. The course reviews structured notes, inverse or leveraged exchange-traded funds, hedge funds, and asset-backed securities. The course also discusses the characteristics of the products that qualify it as complex and its risks.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand some of the identifying features of a complex product
  • understand your suitability obligations with regard to complex products
  • understand your training obligations with regard to complex products
  • understand your supervision obligations with regard to complex products

Designed for

Retail

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