Webinar Replay: Breaking Down the SEC’s MMR — The Top 5 Critical Areas For Your Investment Firm

In this webinar, Synthesis CEO John Toepfer and Red Oak Compliance COO Cathy Vasilev break down the SEC’s new Modern Marketing Rule and the implications for investment firms.

You’re probably already aware of SEC’s MMR (Rule 206(4)-1), which replaces previous rules governing advertising by registered investment advisers, including asset managers and private funds. You may even know these rules are scheduled to go into effect on November 4, 2022. But does everyone in your firm who is involved in communicating with the public understand the new requirements? And, more importantly, is your firm on track toward meeting these requirements? If you’re not, you’re not alone. According to Red Oak Compliance Solutions, less than 25% of their clients admit that they’ve fully instituted processes for complying with Rule 206(4)-1.

In this webinar, John Toepfer and Cathy Vasilev break down the rule help your investment firm prepare. You’ll learn:

• • Why a majority of firms aren’t prepared – Top challenges
  • What the new rule entails – Top 5 things you need to know
  • Tips on how to prepare, including our handy checklist

Register now to access this webinar + the Red Oak’s MMR preparation checklist.