FINRA To Step Up Focus On CLOs, Brokerages
The Financial Industry Regulatory Authority intends to step up its focus on collateralized loan obligations, leveraged loans and other complex products as well as potential conflicts facing brokerages when they market their products over their rivals, according to Richard Ketchum, chairman and ceo of FINRA.
Unlock this article.
The content you are trying to view is exclusive to our subscribers.
To unlock this article: