Berger Legal LLC Announces Formation of Marketing Compliance Practice Group
Mon, May 17th, 2010
Berger Legal LLC is pleased to announce the formation of its Marketing Compliance Practice Group to meet the needs of its financial services clients. The new group is co-headed by Johanna Anders, CSCP and Suzie Scanlon, Senior Legal Counsel.
The Marketing Compliance Practice Group provides the following services:
- Marketing Review: The firm conducts legal review of marketing materials to ensure adherence to FTC, SEC and FINRA requirements, bank regulations, state law, GIPS standards, MSRB rules, privacy rules and trademark law. We complete required regulatory and state filings, counsels on new product initiatives and serves as a resource on new rule initiatives and upcoming regulations.
- Training and Sales Practices : The firm provides training to compliance teams and marketing and sales staff to ensure compliance with applicable laws, rules and regulations.
- Evaluation and Testing of Marketing and Sales Practices: The firm designs and reviews policies and procedures to ensure that they are legally compliant and efficient.
Berger Legal is pleased to welcome Johanna Anders to the firm. Ms. Anders is a Senior Compliance Professional and has over 15 years of experience in advertising, sales literature, communications and e-commerce compliance issues. Previously, Ms. Anders has served in various senior compliance officer roles, including Head of Marketing Compliance at USAA and Head of the Sales & Marketing Compliance division of Morgan Stanley and Van Kampen. She is a member of the National Society of Compliance Professionals and the Municipal Securities Rulemaking Board's Professional Qualifications Advisory Committee.
Practice Goup Co-Head Suzie Scanlon has been Senior Counsel at Berger Legal for seven years, representing major investment banks and other financial services providers across a wide variety of corporate matters. She has been instrumental in executing a broad marketing compliance review program for one of the world's leading investment banks. Ms. Scanlon previously worked at the law firms Sullivan & Cromwell and Wachtell, Lipton, Rosen & Katz. "We are pleased to welcome to Berger Legal and its newly formed Marketing Compliance Practice Group a person with the depth of experience that Johanna enjoys," said Garry Berger. "Johanna and Suzie will be a formidable team in working with our clients in this complex regulatory area."
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