Hosted By: Warner
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