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3PM @ 3pm

Upcoming 3PM @ 3pm Events:

3PM @ 3pm: Pre-Turkey Talk: Product and Distribution Trends in the 40 act Market
November 25, 2014 at 3:00 pm EST

Click here to gain access to the the audio from this call.

Join 3PM for an 3PM @ 3pm.  3PM @ 3pm is the educational program offered by the Third Party Marketers Association.

What is 3PM @ 3pm: Pre-Turkey Talk: Product and Distribution Trends in the 40 act Market?

In the world of fund distribution, we can all agree there are three common goals across any asset class: achieve the investment strategy objectives, raise and retain assets. We as business development professionals are focused on the sales trifecta: Product, Marketing and Distribution to help our investment manager clients achieve their sales goals.  In this 3PM session we will discussion product trends over the past 12 months, spotlight the marketing value proposition, beyond fact sheets and challenges in distribution engagement. 

Join speaker, Alma Piscitello, SVP, Strategic Relationships – Head of Key Accounts at Northern Lights Distributors and moderator Sandra Powers, Ark Global and 3PM Board Member, as they provide a product and distribution trending view point.

For non- members, your $50 registration, fee, if you choose to join, can be applied to your 2015 membership with 3PM. You must join within three months of the call. For information on joining, please click here or contact 3PM HQ.

Third Party Marketing Association Disclaimer
The Third Party Marketing Association is a not for profit, volunteer association comprised of a wide variety of member firms servicing the financial services industry. The association seeks to engage Third Party Marketing firms and related constituents in best practices, industry awareness, networking and general education. The messages delivered via Third Party Marketing sponsored events, including webinars, conference calls, conferences and any other forum in which the Third Party Marketing Association engages, are for informational purposes only and should not be considered advice nor recommendations of any sort. In all cases, the Third Party Marketing Association recommends that its members, and industry colleagues, refer specific questions and business decisions to the appropriate professional resources. No formal reliance should be made on information provided through Association events. No comment, commentary, written or verbal, provided by any individual during or related to a Third Party Marketing event, shall be construed as representative of the views of the Third Party Marketing Association collectively.

Past 3PM @ 3pm Events:

3PM @ 3pm – Regulatory Update Call Agenda
    October 14, 2014 at 3:00 pm EST

Click here to gain access to the the audio from this call.

Join 3PM for the kick-off of the 3PM @ 3pm: Regulatory Series.  3PM @ 3pm is the educational program offered by the Third Party Marketers Association. 3PM @ 3pm is structured in a series format corresponding to various components of outsourced sales and marketing: Regulatory, Marketing, Technology, etc.
The first event is part of our Regulatory Series.  Our Regulatory Update Call will be an informal call with select members of 3PM’s Board of Directors who will provide an overview of current issues in the regulatory landscape and share their thoughts and feedback. It’s a great way for our members to hear from veteran practitioners and learn how 3PM is engaging and advocating on behalf of our industry.  The format of the call will be a brief update on a set agenda of topics.  The call will then be opened to participants who can ask questions and provide feedback on issues discussed.

3PM speakers include:
Donna DiMaria, 3PM Chairman of the Board
Frank Minard, 3PM Board Member, Chair of the Strategy Committee
Steve Jafarzadeh, 3PM Board Member, Chair of the Regulatory Committee

Topics for discussion include:

  • Municipal Advisor Update
    • • Registration with the SEC and MSRB
    • • Potential registration requirements for MA-I
  • BD / FINRA Update
    • • Status of LCFB Proposal
  • AIFMD Update
    • • Non-US Business Activities
  • Other Important Topics
    • • FINRA Supervision Rule
    • • PCAOB update and impact on Audits
    • • Cyber Security
  • Q&A


Past 3PM Webcasts


Windows Media Player Playback: State of the States Part II: Regulatory Insight and Compendium Partnership with FINSearches

June 13, 2012 at 12:00 p.m. EDT This was Part II in 3PM's State of the States webinar series. Since our last webcast, it seems like the rules have been changing by the minute. In this webinar, Frank Minard re-introduced members to 3PM's State Compendium and discussed 3PM's partnership with Financial Investment News (FIN) to obtain the most current and up-to-date information available from the Public Pension Community.

Matt McCue provided attendees with a demo of FINSearches which incorporate detailed information on 3PM / Placement Agent policies for nearly 900 public funds. This information is available through a subscription to FINSearches which will be offered to 3PM Members at a substantial discount.

Full playback of webinar is available at no cost to members in the Members Area of the website. Cost to non-3PM members is $0.00 USD; request purchase to the webinar by going to the "Buy Now" icon below.

 

Windows Media Player Playback: The Transformation of 3PM Contracts and Compensation

April 4, 2012 at 12:00 p.m. EDT, This webinar was a continuation of the session from 3PM's 2011 Annual Conference. The investment industry has undergone a number of significant changes that affect the way a third party marketer operate and get paid. Dodd-Frank has mandated new regulation while bills like AB 1743 have prohibited a marketer from earning a contingency fee. Given these changes, third party marketers can no longer conduct business the way they used to. Our panel of industry experts, including discussed how all of these factors impact a third party marketerís contracts and compensation structure and will offer creative ways to earn a living while still working within the confines of the rules. Click HERE for an agenda from the webinar. Panelists included: Larry Beaupre from Proskauer Rose, LLP, Charlie Bartz from Berchwood Partners and Matthew Eisenberg from Finn Dixon & Herling LLP. The webinar was moderated by Mike Pereira of Hedge Fund Law Report.

Full playback of webinar is available at no cost to members in the Members Area of the website. Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.

 

Windows Media Player Playback: State of the States: Insight into the current regulatory environment for 3PMs

June 29, 2011 at 12:00 p.m. EDT, The 3PM Strategy Committee has been working on a project to identify the specific rules and regulations that apply to Third Party Marketers who want to work in certain States. While SEC Rule 206-5-4 applies to all activities across the country, many States have enacted additional regulations that apply to 3PMs working with the Public Pension Funds in their jurisdiction. Some States now require registration as a Lobbyist, others ban the use of contingency fees while other have instituted an outright ban on 3PMs working with any public pension plans in their State. The State of the States webcast, which was the first in a series, will help 3PMs sort all of this out. Presenters explained what 3PMs can expect when working in NY, CA, IL, KY, OH and NM. Panelists include: Frank Minard, Lisa Roth, and Charlie Bartz.

Full playback of webinar is available at no cost to members in the Members Area of the website. Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.

 

 

Windows Media Player Playback: Alternative Emerging Managers: Finding Success In Today's Marketplace

September 22, 2009 at 12:00 p.m. EDT, Alternative Emerging Managers: Finding Success in Today’s Marketplace, sponsored by Capital Z and Venable, LLP and moderated by Stephan Nicoleau, Managing Partner at Critical Value Advisors. Panelists include: Rory Cohen, Venable LLP, John Massy, Capital Z Asset Management and Michael Scanlon from HedgeCo.  Find their Biographies here!

Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.

 

Windows Media Player Playback: The Issues & Implications of a 3PM / Broker Dealer Relationship

January 29, 2009 at 12:00 p.m. EDT, a joint webcast between 3PM and NAIBD - sponsored by Kinetic Partners.

Presenters are Micah Taylor, who works in Compliance for Kinetic Partners; Lisa Roth, NAIBD Chair; Donna DiMaria, 3PM President, and Stacy Havener, 3PM Secretary and Events Co-Chair. Download full agenda now. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $100.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon below.


Windows Media Player Playback: State Registrations – A Guide for 3PMs

September 17, 2007 at 1:00 p.m. EDT, a 3PM-sponsored webcast.

Presenters are Joseph P. Borg, Director of the Alabama Securities Commission and President of the North American Securities Administrators Association (NASAA); Rex A. Staples, General Counsel of NASAA; and Tanya Solov, Director of the Illinois Securities Department and Vice Chairman of the Broker/Dealer Section of NASAA. The presenters explain the role of state securities regulators, how the NASAA differs from the NASD and SEC, how 3PM firms can work with state regulators and the current "hot" exam topics for state regulators. Download full agenda now. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.


Windows Media Player Playback: Compliance and Regulatory Issues Facing 3PMs Operating Broker/Dealers

June 25, 2007, 1:00 p.m. EDT, a 3PM-sponsored webcast.

Presenters of this webcast are Dan Beaton and Ken George from FINOP and Compliance Services, who reviewed a number of specific requirements that directly pertain to 3PMs. In addition, several of the NASD's proposed rule changes that will affect 3PMs with broker/dealers (full agenda) will be discussed. 3PM members may replay this webcast free of charge by visiting the Member's Area. Cost to non-3PM members is $50.00 USD; payment being charged to your credit card by clicking the "Buy Now" icon to the right of the title above.

3PM Events

3PM Annual Conference 2014
Dates to be announced Soon

Choosing a Third Party Marketer

Regulatory compliance, business development, ongoing education. 3PM membership offers support with these key issues and more.

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