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