The late afternoon session of the Mayer Brown masterclass at SRP Americas 2024 was led by counsel Brad Berman and partner Steffen Hemmerich – they discussed regulatory and compliance issues related to structured products, index providers, distributors and social media.
Both lawyers noted that SEC's recent statements emphasised the importance of dealers' and RIA's understanding of complex products although some of the enforcement actions related to structured products included cases involving back-testing and material non-public information. Social media and digital engagement practices (DEPs) were also discussed with a focus on fairness, supervision, and record-keeping in the context of the SEC's Alternative Trading System (ATS) proposed changes which could i
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