Published on Sep 15th, 2021 | Posted in Events

Unique from other Marketing Rule Webinars you may have attended, this Webinar will provide you with the necessary information to implement the new rule into your advisory business.

JOIN US: Wednesday, October 6th, at 12-1:30 PM EST.

You will hear the perspective of:

  • Rule-Making
  • Legal
  • Compliance

3 Industry Leading Experts will provide unique perspectives on the New SEC Marketing Rule from Policy to Implementation:

  • Michael McGrath, Esq., CFA, Partner, K&L Gates.
  • Emily Rowland, Esq., Senior Counsel SEC Division of Investment Management.
  • John Malone, CRCP, Managing Director and Chief Compliance Officer, Amundi Asset Management US, Inc.

We will discuss:

  • Key Changes and Background of the Rule;
  • Definition of Advertisement;
  • Testimonials and Endorsements;
  • Performance Advertising;
  • General Advertisement Prohibitions; and
  • Transition Planning and Implementation.

*CLE Credit will be available for Attendees*

Dont Miss it!

Click HERE to Register!