NSCP Educational Seminar – Performance Advertising June 28th

Event Info

June 28, 2022 (12:00 PM - 2:00 PM Eastern Time) – Virtual

Session Description

Practical Considerations for Applying the SEC’s Amended Marketing Rule to Your Performance Advertisements

The SEC’s re-working of the Marketing Rule has left firms with a tremendous undertaking to get their performance advertisements into compliance with the new regulatory regime.  With the November 4, 2022 compliance date quickly approaching, common implementation challenges and interpretive issues have begun to take shape.  This session, which is a follow-up to a prior panel but with a focus only on performance advertisements, will discuss common challenges and issues and practical compliance considerations to address them. 

Learning Objectives:

  • Deepen your understanding of the rule, with particular focus on SEC Staff expectations regarding implementing the rule’s requirements relating to performance advertising

  • Discuss practical implementation considerations as your firm drafts policies and procedures on performance advertising, particularly with respect to common implementation challenges and interpretive issues

  • Identify ways in which the Marketing Rule aligns with and differs from the CFA Institute’s 2020 GIPS® Standards, and the associated practical impacts

Pricing 

  • NSCP Members: Free

  • Non-members: $75

Become a member of NSCP to attend free webinars and receive other member benefits: LEARN MORE

Continuing Education Credits

NSCP will provide a Continuing Education (“CE”) Certificate of Attendance for those attendees who participate in live virtual seminars and correctly answer the post-session CE quiz questions in the required response time. CPE credits cannot awarded for any of NSCP’s virtual seminars.

Speakers:

Issa Hanna
Partner Eversheds Sutherland

Issa Hanna assists broker-dealers, investment advisers, investment funds, insurance companies and insurance distributors in navigating the regulatory requirements applicable to their businesses. Issa’s experience includes guiding clients through registration and compliance issues and representing them before federal and state regulators and self-regulatory organizations. He also has deep experience counseling and advising clients on the evolving standards of conduct in the financial services space, and closely follows developments relating to SEC Regulation Best Interest, the investment adviser fiduciary duty, and state securities and insurance laws imposing standards of conduct on broker-dealers, investment advisers and insurance distributors. Issa frequently helps clients develop, revise and update policies and procedures, distribution and service agreements and disclosures to reflect the impact of new rules, regulations and interpretations. He also counsels clients through regulatory issues arising out of transactions they engage in, such as obtaining regulatory approvals of transactions, obtaining end-client consents, and assessing the regulatory risks associated with proposed transactions. In addition to his client work at Eversheds Sutherland, Issa is actively involved in the firm’s Pro Bono, Diversity & Inclusion and Professional Development Committees. He is also a frequent speaker with respect to current regulatory issues and has been published in a number of industry publications and treatises.

Steven B. Levine
Senior Counsel | Chief Counsel’s Office, Division of Investment Management U.S. Securities and Exchange Commission

Steven B. Levine is a senior counsel in the Chief Counsel’s Office of the Securities and Exchange Commission’s Division of Investment Management.   In this role, Steven counsels other divisions and offices at the SEC on investment management issues and considers requests for exemptive and no-action relief.  Prior to joining the SEC in 2020, Steven was an associate at K&L Gates LLP, where he worked in the firm’s asset management and investment funds practice group.  While attending law school in the evening, Steven worked in the legal departments of two investment advisory firms, focusing on legal and regulatory matters arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940.  Steven also currently serves as an Adjunct Professor of Law at Georgetown University Law Center.  Steven earned his B.A. from Tulane University and his J.D. from Brooklyn Law School.  

Karyn Vincent
Senior Head, Global Industry Standards CFA Institute

Karyn D. Vincent, CFA, CIPM, is Senior Head, Global Industry Standards at CFA Institute and is also the GIPS Standards Executive Director. Previously, she was managing partner for client services at ACA Performance Services. Ms. Vincent founded Vincent Performance Services LLC, which subsequently merged with ACA. She also was the global practice leader for investment performance services at PricewaterhouseCoopers. Prior to joining CFA Institute in 2018, Ms. Vincent was an active volunteer, serving on numerous GIPS standards committees. She co‐authored with Bruce J. Feibel Complying with the Global Investment Performance Standards (GIPS®) (John Wiley & Sons, Inc., 2012). Ms. Vincent holds a bachelor’s degree in accounting from the University of Massachusetts Dartmouth.