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.