REGISTER: Educational Seminar- Compliance Technology / SEC Advertising Rule

When:  Jun 22, 2021 from 2:00 PM to 4:00 PM (ET)

Join us for two 75-minute virtual educational sessions on June 22nd.

1:00pm- SESSION 1: If You Build It, They Will Come: Leveraging Compliance Technology & Automation

This session will address how technology and automation are revolutionizing the compliance industry.  Attendees will learn how to evaluate various offerings and align their capabilities with their firm’s compliance requirements to replace manual processes.  This session will also discuss the impact of new technologies on compliance, such as machine learning and artificial intelligence.

Learning Objectives:

  • Understand which processes lend themselves well to automation and which do not
  • Learn how to evaluate compliance software and make smart buying decisions
  • Learn the causes of failed implementations and how to avoid them
  • Appreciate how technology is evolving and the impact this will have on compliance

2:45pm- SESSION 2: Sharing Solutions: Implementing The New SEC Advertising Rule

The SEC’s revised Advertising and Cash Solicitation Rules withdraw dozens of prior no-action letters and well-established guidance and impose detailed conditions on an adviser’s ability to advertise certain types of performance and require that firms develop and implement a new supervisory and compliance infrastructure to comply.  This session is a deep dive into the revised, principles-based rule and its impact on performance advertising and risk mitigation controls. Attendees are expected to have a basic understanding of the new rule.

Learning Objectives:

  • Review the Advertising Rule and its effect on existing no-action letters and precedents
  • Learn how to adapt your policies and procedures to comply with the revised rule
  • Analyze the effect of the rule on performance advertisements, such as disclosure requirements and GIPS compliance, and the use of back-tested and hypothetical performance
  • Discuss the expanded scope of the Cash Solicitation Rule and its impact on placement agent activities
*Members: $100

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