The Future of Marketing and Regulatory Communications

Recorded On: 07/15/2020

Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.


Learning Objectives:

·       Best practices for managing marketing communications

·       Updates on the regulatory environment

·       An exchange of top priorities and focus for improvement


Who Should Attend: Marketing and communications professionals; compliance professionals

Sponsored by:


Mike McLaughlin (Moderator)

President, Naissance Partners

Mike has spent almost twenty years in consulting, with the last 10+ focused on financial services clients. Most firms have been asset managers; some have been insurers, broker/dealers, banks, and others. The questions I help answer center on business and marketing strategy. 

This experience reflects what I’ve done; at least as important is how I approach my work. Three things in particular matter to me: 

·       Combine ideas and idealism with pragmatism

·       Communicate clearly in order to avoid the dreaded “so what does that mean?”

·       Balance my belief that I do excellent work with humility

I have been fortunate to be around some really intelligent people at places like kasina, Accenture, the Yale School of Management, and Northwestern University.

John Closson

Vice President, Broadridge

Duane Mattson

VP, Senior Compliance Officer, PIMCO

Mr. Mattson is a vice president and senior compliance officer for PIMCO, where he heads up the firm’s Compliance Marketing Review team for the Americas (U.S., Canada and Latin America). Prior to joining PIMCO in 2018, he was with Dimensional Fund Advisors as a vice president in compliance, supporting the firm’s marketing and global institutional sales efforts. Previously, he was chief compliance officer for two registered investment advisers and chief supervisory officer for a large independent broker-dealer/RIA. He began his financial services career at Lutheran Brotherhood (now Thrivent Financial). He has 23 years of compliance experience and holds an undergraduate degree in journalism from the University of Minnesota (Twin Cities).

Ed Hrybenko

Vice President, Broadridge


07/15/2020 at 2:00 PM (EDT)   |  60 minutes
07/15/2020 at 2:00 PM (EDT)   |  60 minutes