Presenters

Issa Hanna
Partner
Eversheds Sutherland

Adam Schaub
VP, Product Management – Platform
RegEd

This webinar recording features an update on the SEC’s Marketing Rule, as we examine trends from recent examinations and enforcement actions, as well as updates to the rule’s FAQs. Issa Hanna, Partner at Eversheds Sutherland and a leading authority on the subject, breaks down what firms are encountering in the field and how they can manage compliance with the rule’s requirements.

This session covers:

  • Key takeaways from exams
  • Notable enforcement actions and what they signal
  • Recent updates to the rule’s FAQs, including how performance metrics are presented
  • Practical steps to strengthen your compliance program

About RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.

 

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