April 28, 2021
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
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