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OTC Derivatives

Additional Oversight Could Reduce Costly Sales Practice Disputes

By: Cecile O. Trop

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OTC Derivatives

Additional Oversight Could Reduce Costly Sales Practice Disputes

By: Cecile O. Trop

Reviews the sales practices for over-the-counter (OTC) derivatives, mortgage-backed securities (MBS), and structured notes. Analyzes fed. sales practice requirements applicable to these products and the dealers marketing them. Reports on the extent of end-user satisfaction with sales practices, product use and related disputes and the costs of these disputes. Includes the views of end-users and dealers on the nature of their relationship and responsibilities and the actions dealers and end-users have taken to reduce the potential for sales practice disputes, and the actions regulators have taken to address sales practice issues.

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Page Count

232

Publisher

DIANE Publishing

Published Date

ISBN 10

0788173294

ISBN 13

9780788173295

Futures Markets

Strengthening Sales Practice Oversight

By: Cecile O. Trop

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Futures Markets

Strengthening Sales Practice Oversight

By: Cecile O. Trop

U.S. futures exchanges and the National Futures Assoc. are responsible for enforcing member firms' compliance with industry standards for marketing and selling futures products to the public. The Commodity Futures Trading Commission (CFTC) oversees enforcement of sale practices standards to ensure the integrity of the self-regulatory process and to protect investors from sales practice abuse. This report is an evaluation of CFTC oversight of self-regulatory organization monitoring and enforcement of sales practice compliance among futures industry firms. Charts and tables.

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Age

Page Count

54

Publisher

DIANE Publishing

Published Date

ISBN 10

0788145460

ISBN 13

9780788145469

Book's by Cecile O. Trop

OTC Derivatives

OTC Derivatives

Futures Markets

Futures Markets

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