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


  • 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

Fill in & submit the form below to download this ComplianceCast™.