Navigating the Sales Mine Field Taylor Garrett Managing Director, Orchard Securities Scott Smith President, FactRight Moderator: John H. Grady Chief.

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Presentation transcript:

Navigating the Sales Mine Field

Taylor Garrett Managing Director, Orchard Securities Scott Smith President, FactRight Moderator: John H. Grady Chief Operating Officer, Realty Capital Securities

Regulatory Environment for Alternative Products Define “alternatives” Define “new products” New offering New strategy New vehicle/structure Legal and Regulatory Oversight

Duties Placed on Advisors and Their Firms Firm diligence processes Role of in-house versus third party experts Benefits and costs Initial versus on-going diligence Selling agreement considerations

Rep/Advisor Diligence General Suitability assessment Compensation elements Liquidity Attributes

Marketing Materials; Training and Education Responsibility Liability

The Big Picture Cutting edge products versus first mover concerns Client concerns Litigation/arbitration Regulatory scrutiny Where’s the balance?

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