David Blass is the Assistant Director in charge of the Office of Investment Adviser Regulation in the SEC’s Division of Investment Management. The Office is responsible for the development of policy and rulemaking under the Investment Advisers Act. David also has served as a Branch Chief in the Division of Market Regulation. Prior to joining the SEC, David was an attorney at the law firm of Davis Polk & Wardwell.
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, Michelle 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.
Gail Marshall-Smith of Counsel, Bingham McCutchen, Washington, D.C., represents clients in all segments of the securities industry including full-service, discount, bank, independent contractor and insurance broker-dealers, as well as dual registrants and transfer agents. Her practice focuses on advising on compliance controls, registration issues and enforcement defense. Gail previously worked with the SEC as counsel to Commissioner Isaac Hunt.
John Robbins, CFA, serves as managing director and global head of compliance at AIG Investments in New York. Prior to joining AIG, John was the regional head of asset management compliance and CCO of Deutsche Asset Management’s U.S. registered adviser, Deutsche Investment Management Americas. He has also served as the global head of institutional compliance.
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This webinar was originally recorded Tuesday, October 14, 2008, 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.
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
to Listen in
- Chief Compliance Officers
- Compliance Managers
- Senior Managers
Competitive firms know the power of persuasive marketing, but must always be mindful of compliance pitfalls.
The SEC makes compliance with its advertising and marketing rules one of its top enforcement priorities. Misleading language, poorly confirmed statistics and unsupported boasts are all too common, and readily caught by regulators.
Make sure you and your firm are ready. Order the CD-Rom of Performance Advertising: Tips to Avoid Compliance Lapses & Web Site Do’s & Don’ts today and find out:
- Examples of recent deficiency trends and enforcement actions concerning advertising/marketing
- Common mistakes to avoid, such as improperly claiming “verified” GIPS compliance
- How to persuade marketing of compliance’s role in approving their work
- The risks in using hypothetical returns
- Why you must be thorough in presenting past recommendations online
- Web site do’s and don’ts
- How to handle testimonials
- Your duties in vetting presentations by third-parties
- How to handle fees when computing performance results
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Performance Advertising: Tips to Avoid Compliance Lapses & Web Site Do’s & Don’ts for $245 [A1595CD].
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