As Prime Brokers Lack Sufficient Sales Oversight, Clients Step Up
The suitability of certain financial products for different client profiles has proven an object of close scrutiny for prime brokers (PBs) and regulators alike since the 2008 financial crisis. The topic flared up again more recently after the introduction of exotic exchange-traded funds (ETFs) and index options with securitized real estate and corporate credit underlying.
But sources in the industry say the bigger issue is both more simplistic and runs deeper, and in many cases will affect the
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