SEC's new investor watchdog lays out risky products for 2014

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#1
Are the products exist in Singapore market?

SEC's new investor watchdog lays out risky products for 2014

WASHINGTON - The U.S. securities investor watchdog office on Tuesday unveiled its list of the top products and practices that bedeviled mom and pop investors in 2014.

In an annual report on market activities, the Securities and Exchange Commission's Office of the Investor Advocate said private placements, variable annuities, non-traded real estate investment trusts (REITS) and binary options all presented problems for investors.

The report also highlighted concerns about "reverse churning," in which a broker transfers the account of a client who does not frequently trade into another account with fees based on asset size so the brokerage can boost its compensation.
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http://www.todayonline.com/business/secs...ducts-2014
“夏则资皮,冬则资纱,旱则资船,水则资车” - 范蠡
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#1
Are the products exist in Singapore market?

SEC's new investor watchdog lays out risky products for 2014

WASHINGTON - The U.S. securities investor watchdog office on Tuesday unveiled its list of the top products and practices that bedeviled mom and pop investors in 2014.

In an annual report on market activities, the Securities and Exchange Commission's Office of the Investor Advocate said private placements, variable annuities, non-traded real estate investment trusts (REITS) and binary options all presented problems for investors.

The report also highlighted concerns about "reverse churning," in which a broker transfers the account of a client who does not frequently trade into another account with fees based on asset size so the brokerage can boost its compensation.
...
http://www.todayonline.com/business/secs...ducts-2014
“夏则资皮,冬则资纱,旱则资船,水则资车” - 范蠡
Reply


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