SESSION 1: SEC Marketing Rule SESSION 2: ESG Investing

SESSON 1: Practical Considerations for Applying the New SEC Marketing Rule

The SEC’s complete re-write of the Advertising and Solicitor Rules has left firms with a tremendous undertaking to figure out the new rule’s requirements and develop the processes and controls to meet its myriad conditions. Marketing and Sales may be eager to start using testimonials or case study examples; however, this requires additional compliance, risk, operational, and legal considerations. This session will provide an update of the latest guidance and learnings from the front lines as both large and small firms continue their implementation efforts.

Learning Objectives:

Deepen your understanding of the rule, with particular focus on current SEC Staff guidance regarding the rule’s scope and requirements, including no-action letters and FAQs
Discuss practical implementation solutions as your firm drafts policies on testimonials and endorsements, third party ratings, and performance reporting
Identify the potential risks and gray areas yet to be answered or addressed by the regulators
Ensure your firm is on track for implementation, including procedures, controls, and training

SESSION 2: ESG Investing: Implementing “Green” Investing Practices Demanded by Clients

Environmental, Social, and Governance (“ESG”) issues have become part of the corporate lexicon, perhaps now more than ever before. As ESG investing is moving to the forefront for both regulators and investors, the role compliance professionals play is critical with increasing risks associated with disclosures and reporting requirements. In this session we will examine ESG investing, its impact on the compliance department, and share best practices of managing this burgeoning area.

Learning Objectives:

Explore ESG investing, including the various definitions and factors impacting investment decisions, and the key risks faced by ESG investors
Explore the regulatory review of ESG investing and the current regulatory landscape (e.g. SEC market task force, risk alert, greenwashing, etc.)
Explore the different ESG NGOs (non-governmental organizations) and their reporting/disclosure frameworks (PRI, CFA Institute, TCFD, Net Zero, etc.)
Discuss practical tips and best practices for the compliance oversight of ESG investing

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.

Registration Type	Price for 2 sessions
NSCP Members	$100
Non-Members	$200

Johanna Anders

TIAA
Johanna Anders is a Managing Director and Head of Global Marketing and Communications Compliance as part of TIAA Enterprise Risk & Compliance with over 25 years of experience within the financial services industry spanning across asset management as well as banking and insurance (life and property & casualty). Her cohesive one-team approach for global support as a shared service includes providing advice to new marketing and communications initiatives from a compliance perspective, including emerging areas of communication and technology efforts such as social media and mobile applications, and guidance regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards and disclosure guidelines as well as other risk-related issues through their support of the review of marketing materials. During her tenure at the firm, Ms. Anders has led key strategic initiatives in addition to helping further build various core Compliance functions, including developing artificial intelligence and overseeing the firm-wide Records Management program, eDiscovery and production, Electronic Communications, Retention and Monitoring, Ethics and Privacy Offices, U.S. Distribution (including Canada), Broker/Dealer Compliance and other cross-functional support such as new product initiatives, sales and distribution, business continuity planning, and ongoing tracking and analysis of regulatory developments. Ms. Anders also chaired the Nuveen Disclosure Oversight Team (NDOT) which helped to ensure that the offering documents, promotional literature and other materials used in connection with Nuveen’s investment products and services contain appropriate disclosure reflecting the evolving policies, practices, market conditions and other factors affecting such products and services. Prior to joining Nuveen, Ms. Anders was a Managing Director at Charles Schwab and has held various senior compliance positions at Ameriprise Financial, USAA and Morgan Stanley/Van Kampen which included the development of strategy for in-house and field sales force Advertising and Marketing Review, Sales Practices, Regulatory Programs, and Compliance Training and co-heading the Marketing and Hedge Fund Practices at Berger Legal. Ms. Anders is a member of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) Advertising Compliance Advisory Committee. She also served on the Municipal Securities Rulemaking Board’s (MSRB) Professional Qualifications Advisory Committee, the FINRA Series 24/26 Examination Review Committee, and the CSCP Board of Governors, Curriculum Committee and Test Development Committee. Ms. Anders received the Certified Securities Compliance Professional (CSCP) designation, earned a B.A. in Communications from Marquette University and holds the Series 6, 7, 24, 26, 51 and 63 securities registrations. Ms. Anders is a frequent industry speaker on topics involving compliance best practices and innovative ways to utilize technology in this space.

Mario Chilin

EP Wealth Advisors
As the Chief Compliance Officer of a leading independent registered investment advisory firm, Mario oversees and is responsible for all aspects of the firm’s Compliance and Risk Program. Mario is a dedicated and passionate member of the greater Compliance and Risk Management Community. He is an active member, chairs, or can be found speaking at several local and national compliance industry events, round tables, working groups, and/or committees.

Genna Garver

Troutman Sanders LLP
Genna Garver provides targeted, practical advice to investment advisers, hedge funds and other private investment funds implementing various investment strategies. Her clients appreciate the close personal attention she provides to help them navigate the complex maze of investment regulation. Genna routinely advises clients on formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, broker-dealer and private fund regulation; Investment Advisers Act compliance programs, annual reviews and ongoing compliance matters; and regulatory examinations and investigations. She also has extensive experience representing financial institutions in a variety of transactional and regulatory matters. A sought-after speaker and author, Genna regularly presents at industry events on various aspects of securities law. She is also actively involved in numerous women’s and diversity initiatives in the financial services industry and is an active participant in 100 Women in Finance, the Investment Adviser Association, and the National Association of Compliance Professionals.

Rebecca Peckham

Morgan Stanley
Rebecca is an Executive Director of Morgan Stanley, based in New York. She is Head of Alternatives & ESG Compliance Advisory for Morgan Stanley Investment Management, and Chief Compliance Officer of Morgan Stanley AIP GP LP. She also leads coordination of ESG Compliance Advisory across the Morgan Stanley enterprise. Rebecca joined Morgan Stanley in 2009 and has previously held a number of senior roles within the Firm’s Legal and Compliance Division, including as Head of Private Side & Research Compliance, Asia Pacific, based in Hong Kong. Prior to joining Morgan Stanley, Rebecca was a corporate finance attorney at Herbert Smith Freehills, where she worked in the Firm’s London, Tokyo and Hong Kong offices. Rebecca received a BA from the University of Nottingham, UK and holds postgraduate degrees from the University of Oxford and the College of Law, London.

Greta Nathan

Fairview Performance Services
Greta Nathan joined Fairview Performance Services to lead the launch of this service line in early 2019. Greta has over 25 years of industry experience and has performed GIPS® standards verification and consulting services in each of her previous positions. She was most recently with ACA Performance Services, where she worked with some of the firm’s largest, most complex global clients. Previously, Greta spent ten years working at Vincent Performance Services LLC, where she provided tailored training to clients and assisted in the development of the verification process and testing procedures. Prior to VPS, Greta worked at CAPS, Inc. where she assisted with product development, product implementation, historical data transfers, and clients’ compliance issues. Greta began her career as an Audit Manager at PricewaterhouseCoopers LLP, providing audit and other services to a range of investment management firms. Currently, she volunteers for CFA Institute, serves as Chair of the United States Investment Performance Committee (USIPC), and is a member of CFA Institute’s ESG Verification Subcommittee.

Emily Rowland

U.S. Securities & Exchange Commission
Emily Rowland is a Senior Counsel in the Investment Adviser Regulation Office within the Division of Investment Management of the Securities and Exchange Commission. Ms. Rowland played a key role in developing the staff's recommendation to the Commission to adopt the new marketing rule, and has also worked on other investment adviser rulemakings at the SEC. Prior to joining the SEC, she was an attorney in private practice, including Chief Compliance Officer at a private equity firm. Ms. Rowland received her B.A. in Geography from Dartmouth College, and her J.D. from the University of Pennsylvania Carey Law School.

SESSION 1: SEC Marketing Rule
SESSION 2: ESG Investing

May 12, 2022

Virtual Event (12pm - 3pm EST)

Event description

Continuing Education Credits

Agenda

Speakers

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