Marketing rule in practice: FAQ guidance, exam trends and compliance strategies
- Overview of where Marketing Rule FAQs offer guidance; guidance through areas that raise questions
- Exam trends: what examiners are consistently focusing on
- Lessons learned: practical compliance strategies that hold up in exams
Moderator:
- Scott H. Moss, Partner; Chair, Fund Regulatory & Compliance; Co-chair, Investment Management Group, Lowenstein Sandler LLP
Speakers:
- Steven Felsenthal, Partner, Principal, General Counsel and Chief Compliance Officer, Millburn Ridgefield
- Rachel Gerwin, Chief Compliance Officer and Counsel, Viking Global Investors
- Daniel Taub, General Counsel & Chief Compliance Officer, Junto Capital Management
Time: 1:40 p.m.-2:30 p.m. ET
Location: New York Athletic Club, 180 Central Park S, New York, NY 10019
