About This Course
This CLE Program addresses some basic content and performance standards, selected topics such as supplemental hypothetical illustrations, complexity of contracts and investment options, and comparisons and the related regulatory challenges. Also discussed are a firm’s perspective with respect to their compliance review process and the typical regulatory challenges faced as well as a legal perspective on topics such as “materiality,” disclosures, and practical tips for complying.
By the end of this session, you will be able to:
- Summarize how to create a variable product communication with respect to content and performance.
- Address selected topics, such as: supplemental hypothetical illustrations and comparisons; and complexity of contracts and investment options.
- Understand a firm’s perspective on the “Best practices” with respect to relationships with business units; seat at the table; compliance by competition; process and controls; and training and managing disrupters.
- Understand the legal perspective on the definition and standards of “materiality;” the importance of audience/context, substantiating claims, and disclosure; and a successful review process.