May 12, 2022
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.
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.
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.