The Securities Compliance Podcast: Compliance In Context – SEC Marketing Rule Master Class
We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader, this 6 episode podcast series walks listeners through:
Introduction to the Marketing Rule
Tricky Legal Aspects
Impact on Private Funds
Performance, Performance, Performance
Challenges with Testimonials, Endorsements, and Third-Party Ratings
Implementation for Private Fund Advisers vs. Traditional Advisers
In our first episode, you’ll hear from our moderators, Patrick Hayes, Calfee and Carlo di Florio, ACA Group along with our industry panelists from the SEC, Steven Levine and Chris Mulligan, as we provide background on the new SEC Marketing Rule and why it was developed. We’ll cover key nuances to the rule, the founding principles behind the rule, and feedback that the SEC has received from the industry. We’ll also explore how the Division of Examinations has prepared to examine for the new rule and lessons learned from early adopters.
With 3 months until the compliance date for the new rule, this series is the perfect master class to set you and your firm up for success. Listen to the first episode here.
Listen to the first episode and subscribe to receive the full series next week!
To listen to the first episode or to hear about future episodes, follow the show in your favorite podcast app or subscribe to receive email updates about the podcast here.
Stay tuned, next week we’ll be releasing 5 new episodes to complete the master class series! Be sure to subscribe to the podcast so you don’t miss out on an episode.
Episode 1 Speakers
Each class within the series will feature leading compliance specialists, attorneys, and regulators with deep knowledge and insight on the SEC Marketing Rule and its implications and considerations for firms.
Patrick Hayes, Moderator
Partner
Calfee
Carlo di Florio, Moderator
Global Advisory Leader
ACA Group
Steven B. Levine
Senior Counsel
U.S. Securities and Exchange Commission, Division of Investment Management
Chris Mulligan
Investment Adviser / Private Funds Senior Advisor and Co-Coordinator
U.S. Securities and Exchange Commission, Division of Examinations
Questions?
Contact ACA Group here, NSCP here, or The Securities Compliance Podcast here.
About the Podcast Sponsors
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is “For Compliance, By Compliance”. NSCP membership provides financial services compliance professionals with a wide range of compliance resources, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. NSCP members have access to a diverse community of compliance professionals who willingly share their knowledge and expertise. Learn more here.
ACA Group (“ACA”) is a leading governance, risk, and compliance (GRC) advisor in financial services. We empower clients to reimagine GRC and protect and grow their business. Our innovative approach integrates advisory, managed services, and distribution solutions with our ComplianceAlpha® regulatory technology platform with the specialized expertise of former regulators and practitioners and a deep understanding of the global regulatory landscape. Learn more here.
