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Current Trends and Topics for Investment Company Communications

SKU: FR1004
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current trends, changes to FINRA Rule 2210 and recent regulatory interpretations, including related performance. The panelists also share tips to strengthen the marketing and compliance relationship when developing compliant communications.

Lecturer Bios

Derek Ashworth

Derek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the Department’s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps. He has been with the Advertising Regulation Department for 17 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor’s degree from Stetson University and completed his M.B.A. at Johns Hopkins University.

Darrian Hopkins

Darrian Hopkins is Director and Compliance Officer responsible for leading TIAA’s Marketing Compliance and Oversight Program. This team leads all oversight activities for TIAA’s marketing review program to ensure compliance with applicable advertising laws, rules and regulations. Mr. Hopkins joined TIAA in February 2006 from FINRA, where he was an Associate Supervisor in the Advertising Regulation Department. Mr. Hopkins spent nine and a half years in the Department and, prior to that, he spent five years with the U.S. Securities and Exchange Commission also in Washington, DC. While at FINRA, Mr. Hopkins was a frequent speaker on various panels at FINRA’s annual Advertising Regulation Conference. Mr. Hopkins is a graduate of the University of South Carolina.

Lynn Lawson, Esq.

Lynn Lawson is an Associate Manager in FINRA’s Advertising Regulation Department. Her primary responsibilities include training and mentoring assigned staff and conducting reviews of complex communications for compliance with applicable advertising rules. She is also the Department’s Training Committee Coordinator and has been a speaker at FINRA’s Advertising Regulation Department annual conference since 2011. Prior to joining FINRA, she worked as a contract attorney and in the financial services industry. She holds Series 7, 24 and 63 registrations. Ms. Lawson is also a graduate from The Catholic University of America, Columbus School of Law and earned a B.A. in English from Spelman College. She is also holds the designation of a Certified Regulatory and Compliance Professional from the FINRA Institute at Wharton and is a member of the District of Columbia Bar.

Danielle Nicholson Smith, Esq.

Danielle Nicholson Smith is Legal Counsel for U.S. Communications and Digital Services and Vice President of T. Rowe Price Investment Services, Inc. She joined T. Rowe Price in 1992. Most of her 25 years in the industry have been spent on the application of FINRA and SEC Advertising Rules to communications with the public. Ms. Smith oversaw the principal review and filing with FINRA of all of the firm’s mutual fund advertising and sales materials for over 15 years. She serves on the Advertising Rules Committee of the Investment Company Institute and has been a speaker on regulation of social media at the FINRA annual conference. Ms. Smith holds a bachelor’s degree from Smith College and a law degree from the University of Maryland School of Law.



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