10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN)
The use and compensation of external and internal marketing personnel to seek new business is critical and poses considerable compliance and regulatory risks. This session will identify key issues for compliance personnel in assessing a firm’s policies and procedures and disclosure requirements, including those addressing compensation and oversight.
This session is open to regulators but closed to members of the press.
Learning Objectives:
Learn the primary compliance considerations that may arise in connection with the use of employee and third-party marketers.
Discuss contractual requirements regarding third-party marketers and their significance to a firm’s compliance.
Consider policies and procedures that may aid in oversight of third-party marketers.
Analyze key enforcement proceedings and examination results involving marketers and solicitors.
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