Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry (2018)
Description: Streamlining Marketing and Advertising Compliance will provide insight into the current regulatory climate impacting marketing and advertising in the financial industry.
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Webinar: Streamlining Marketing and Advertising Compliance in the Financial Services Industry
Regulators, especially FINRA, the CFPB, the OCC and state regulators, remain intensely focused on sales practices, which include advertising in all of its forms, to ensure that institutions are not deceptive or abusive toward consumers. The penalty for not complying with prescribed guidelines is severe, with regulators fining some institutions millions of dollars for communications they deem to be deceptive. And of course, there’s the associated reputational risk, which can be even more costly. Streamlining Marketing and Advertising Compliance through Strong Processes and Technology will provide insight into the current regulatory climate impacting marketing and advertising in the financial services industry and discuss best practices for Marketing and Compliance groups to avoid non-compliance and reputational risk.
Join Ann Robinson, CRCM and Senior Vice President, RegEd, Inc. and Tim Dwinal, Global Head of Marketing Compliance, State Street Corporation for a discussion on:
- Marketing as 1st line of defense
- FINRA Rule 2210 and UDAAP-driven risks related to marketing activities
- The “Compliance / Marketing” partnership
- Technology to streamline and integrate the creative and compliance review process
- New technologies and impact on the future of Advertising compliance review