Sarah Bessin is Assistant Director of the Office of Investment Adviser Regulation in the SEC’s Division of Investment Management. From 2004-2009, she was an Assistant Chief Counsel in the SEC’s Division of Enforcement, in which position she focused on investment management issues as they related to the activities of the Division of Enforcement. Prior to joining the Division of Enforcement, Ms. Bessin was an Associate with the law firm of Shearman & Sterling LLP in Washington, D.C. in the firm’s asset management practice. Between 1994 and 1998, Ms. Bessin served as Staff Attorney, and later, Special Counsel, in the SEC’s Division of Investment Management.

Michelle Jacko leads her own securities legal and compliance consulting firm, Core Compliance & Legal Services in San Diego. She is the firm’s founder and CEO. The company provides services across a wide spectrum, ranging from mock exams to writing compliance policies and procedures. Before starting her own firm, Ms. Jacko was vice president of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services and chief compliance officer at First American Trust.

James Anderson is a partner in Wilmer Hale’s Securities Department, and the chair of the Investment Management Practice Group in Washington, D.C. Prior to joining the firm, Mr. Anderson served as a staff attorney in the Office of Investment Company Regulation in the SEC’s Division of Investment Management. Mr. Anderson advises investment advisers, hedge funds, mutual funds, banks, and broker-dealers. He has advised investment advisers and hedge funds about various compliance matters (e.g., the development and implementation of compliance policies and procedures, mock examinations and other comprehensive reviews of compliance systems and procedures, investment adviser registration requirements).

Mary E. Brown, CFA, is a portfolio manager with Principal Global Investors, and was previously manager of the Investment Compliance Department. Before joining Principal, she worked for Banc of America Securities and Goldman Sachs, supporting equity derivatives trading businesses. She also serves as a content editor for the Stalla CFA Review study guides. She received a MBA in Finance from DePaul University and is a CFA charterholder.

This webinar was originally recorded October 13, 2009, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers
  

Odds hold that more than one in four exams of investment advisory firms will end with a deficiency tied to performance advertising and marketing.

Firms continue to struggle with how to present their performance data, especially after a year of dreadful returns. This autumnal webinar will pass along pointers for how to meet SEC expectations, avoid common mistakes, be confident in your performance numbers and insert a compliance role in your firm’s marketing efforts.

You’ll also hear the latest on upcoming GIPS changes and examples of how the topic of advertising and marketing comes up in SEC exams.

Purchase the CD of the October 13 webinar, Compliance Do’s & Don’ts for Performance Advertising and discover:

• Do’s and don’ts for confirming and presenting performance statistics
• What to avoid when it comes to the use of testimonials
• Compliance risks contained within pitchbooks, RFPs, FAQs, brochures and newspaper and other ads
• A review of upcoming changes to GIPS’® rules
• Special rules that apply when showcasing performance data on the Web
• An overview of recent SEC no-action letters that grant additional freedoms to how firms advertise their data
• Trends in how firms are presenting data, and how regulators are scrutinizing marketing by firms
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Compliance Do’s & Don’ts for Performance Advertising for $195 [TA1858CD].

3 Ways to Order
Order online | Call 1-888-234-7281 | Fax 301-287-1316
*Please allow 2-4 weeks for delivery.