Mastering the Marketing Rule

Mastering the Marketing Rule

Prepare Now for the SEC’s New Marketing Rule

View the recent webinar: “Mastering the Marketing Rule” as a panel of thought leaders provide actionable takeaways on implementing the SEC’s new Marketing Rule for RIAs, including:      

• Why to prepare now for the Marketing Rule 
• Diagramming a plan and establishing a compliance date
• Working with counsel on agreements and disclosures
• Dedicating resources towards execution
• Optimizing marketing reviews with operational enhancements

Speakers: 

• Jennifer L. Klass, Co-Chair, North America Financial Regulation and Enforcement Practice at Baker & McKenzie LLP 
• Karen Shapiro-Wynn, Chief Compliance Officer at ZAIS Group LLC
• Matt Calabro, Director of Institutional Wealth Manager Services at CSS
• Korrine Kohm, Director of Retail Wealth Manager Services at CSS
• Moderated by: Keith Marks, Executive Director at CSS