2024 NSCP National Conference

Join us at the 2024 NSCP National Conference during the panel Marketers and Marketing Agreements. 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. The panel will take place on Wednesday, October 30th 2024, from 11:00 AM - 12:00 PM

Speakers will discuss:

• The primary compliance considerations that may arise in connection with the use of employee and third-party marketers
• Contractual requirements regarding third-party marketers and their significance to a firm’s compliance
• Policies and procedures that may aid in oversight of third-party marketers
• Key enforcement proceedings and examination results involving marketers and solicitors