Skip to main content
A Better Partnership

Events

Mar 2021
03
March 03, 2021
Virtual CCO Roundtable Series: The Modernized Marketing Rule

Webinar | Hosted By: Warner

Image for Virtual CCO Roundtable Series: The Modernized Marketing Rule

You are invited to join Warner’s virtual complimentary CCO Roundtable discussion focused on “The Modernized Marketing Rule,” on March 3, 2021, at noon, where we’ll exchange new information on the SEC finalizing reforms under the Investment Advisers Act to modernize rules that govern advertisements and payments to solicitors. The new rule codifies and clarifies performance advertising, allows client and third-party recommendations and testimonials with appropriate disclosures, and simplifies SEC requirements when using “solicitors.” State-level regulation of third-party solicitors is unaffected. Join us for best practices and shared ideas to implement in your organization. 

Attendees must be chief compliance officers or have equivalent responsibilities to participate. To facilitate an open and candid discussion among CCOs, we ask that these discussions be treated confidentially.
 

Look for future CCO Roundtable Series invitations for upcoming events scheduled for: 

June 2, 2021
September 1, 2021
November 3, 2021

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you.

Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.

ACCEPTCANCEL

Text

+ -

Reset