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Marketing and Social Media for Investment Advisers
While the SEC considers revising the advertising rules, the current rules must still be understood and carefully followed. Investment advisers must still employ decades-old rules while finding fresh and effective ways of offering their services to a younger cohort of prospective clients. This session will review the fundamental concepts of IA advertising and marketing compliance and provide practical advice to help you advise your marketing department on compliant ways to employ both traditional channels and social media. This interactive session will also allow you to analyze sample advertisements to determine whether they are acceptable for IAs.
After attending this session, attendees should be able to:
- Analyze the most recent developments in IA advertising rules
- Avoid common advertising pitfalls
- Develop agile processes for ensuring compliant advertising and recordkeeping
- Evaluate the risks associated with the newest marketing channels
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
AVP/Compliance Manager, Nuveen Investments, Inc
Tonja Morgan is an AVP/Compliance Manager who joined Nuveen Investments, Inc. in 2010. Currently, she provides compliance support and oversight to three of Nuveen’s affiliated RIA firms. Prior to assuming a compliance role, Tonja worked in the industry as a Certified Financial Planner, Client Service Manager, Senior Shareholder Specialist, and Operation’s Specialist.
Before joining Nuveen in 2010, Tonja was a Senior Compliance Manager at Ariel Investments and the Chief Compliance Officer for Ogilvie Securities Advisors. Tonja has worked in IA, BD, and Fund Compliance since 2002 and the investment industry since 1993.
Tonja is a graduate of Saint Xavier University with an MBA in Financial Planning. She holds the Series 7, 24 & 63 and is a CFP® professional with the Certified Financial Planner Board of Standards and holds the NRS designation of Investment Adviser Certified Compliance Professional.
Kevin is a Consultant with NRS in the Investment Adviser Services Department, and he is based in our New York City branch office. Kevin also delivers comprehensive compliance solutions to various types of investment management firms including separately managed account advisers, mutual fund advisers and private fund advisers, including hedge funds, private equity funds, venture capital funds and real estate funds.
Kevin earned his Juris Doctor degree from Brooklyn Law School in 2012. He is a member of the New York State Bar.
After graduating from law school, Kevin served as Chief Operating Officer of another leading compliance consulting firm based in New York City. During his tenure there, Kevin hired, trained and oversaw the firm’s team of consultants while ensuring quality control and increasing operational efficiency. Kevin also performed consulting services for key clients.
Before attending law school, Kevin entered the financial services industry as a Financial Advisor and formerly held Series 7 and Series 66 licenses while he was with UBS Financial Services and MetLife Financial Services.
Kevin is an alumnus of The Hotchkiss School and The City College of the City University of New York.
For Whom: Designed to increase the professional competence of Investment Advisers.
Suggested Skill Level: Basic
Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE.
CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes
For more information, check out the NRS Continuing Education Guide.