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Oversight of the Marketing Process
Oversight of the Marketing Process
 

September 13, 2016

Division
Investment Adviser

Speaker: Matthew Shepherd, Consultant, ACA Compliance Group
Speaker: Luis Garcia, Consultant, ACA Compliance Group
Speaker: Michael D. Saarinen, Counsel, Goodwin Procter LLP


Webcast Discussion Includes:

  • Practical suggestions and ideas to help ensure that the marketing process is efficient, supervised, and documented
  • Documenting compliance reviews of marketing materials
  • Ensuring data accuracy
  • Avoiding general solicitations
  • Overseeing third-party marketers