Join us for a webinar on Making Marketing & Advertising Review Easy: Private Funds, RIAs, and BDs

Date: August 5, 2020

Time: 1:00PM – 2:00PM (EDT)

Topics:

  • A review of the legal and regulatory basis for the SEC and FINRA’s marketing and advertising rules
  • Current regulatory focus areas, including recent enforcement actions
  • How technology is being utilized in the industry to create efficiency and enhance risk management
  • Current pitfalls for global organizations and the impact of the pandemic on marketing and sales practice issues

Who Should Attend:

  • Compliance Officers
  • Marketing Staff
  • Audit Professionals
  • Legal Counsel
  • First Line Business Supervisors and Principals

Speakers:

Gino Ercolino, Director, Treliant

Alan Halfenger, Managing Director, Treliant

Stephen Pope, Chief Executive Officer and Co-Founder, Red Oak Compliance Solutions

Register Here(Registration is Required):

Register Here

*registrants will receive an email with dial-in instructions