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