— REGISTER BELOW —
The world of marketing is drastically different than it was 60 years ago (hello, technology!), and as of May 2021, the SEC is making changes to its rules to reflect the new age. RIAs were given an 18-month adjustment period to help with the transition, which is quickly coming to an end on November 4th. To prepare for the *nearly here* compliance date, we’ve invited two industry panelists to discuss a range of SEC Marketing Rule-related topics.
In this webinar, Quest CE’s Strategic Sales Manager, Alexander Drzewiecki, will be joined by Paula Heffron, SVP & Director of FCIS Compliance at First Citizens, and Scott Reckamp, Senior Principal Consultant at ACA Group. The roundtable will provide an overview of how the rule is changing, key challenges for firms, recommendations to help streamline the compliance process, and more.
Please join the discussion on October 27, 2022, at 9 AM CST.
What’s Changing: Focus Areas for Firms
- Defining “Advertisement”
- The Most Significant Change for Firms
- Key Elements of the Rule
A Discussion on Streamlining Compliance
- Recommendations for Compliance
- Involved Parties for a Successful Transition
- Personal Insights: “How we Prepared”
A Look Ahead: The Next 30, 60, 90+ Days
- The Impact on Marketing
- Takeaways from the SEC’s Risk Alert
- Future State of Compliance
The seat limit per session is 500 participants. The anticipated duration of this webinar is 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 2,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost-effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.