7f. IA/PF – Global Compliance and Marketing (Intermediate - OPEN)
This session will explore general marketing and regulatory considerations in the global marketplace, including but not limited to the European Securities and Markets Authority (ESMA) and the UK Financial Conduct Authority (FCA). The panel will also cover current regulatory hot topics in certain foreign markets.
This session is open to regulators but closed to members of the press.
Learning Objectives:
Internally discuss the products, selling manner, actual services to be performed, and jurisdictions to be covered to determine licensing and registration requirements, and marketing restrictions.
Understand the jurisdictional definition of investor/client, and the use of marketing tools, their limitations, and exemptions. Create a set of disclosures that will cover applicable foreign country requirements.
Ensure there are adequate written policies and procedures in place to address relevant matters including client identification, marketing and prohibitions, product/market selling presentation, country registration, anti-money laundering, and local representation. Discuss associated risks and noncompliance.
Develop a firmwide ongoing educational compliance program that includes proactive measures for addressing new foreign regulatory requirements.
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