Archived 3PM-Sponsored Webinars:
2021 3PM Games on Demand.
Miss our 3PM Fall Games? Read our recaps below and watch the series!
Global Trends
With technology and markets moving at lightning speeds, our Global Trends webinar slowed down to ask third party marketers located around the globe to discuss strategies and regulations impacting outcomes. Moderated by Ken Rogers and featuring Jerome Gladis, MyFunds and Stephen Von Posern, Bohanan LTD., the conversation focused on Brexit, USTIS, COVID-19 and perspectives on what to expect in 2022. Watch Global Trends here.
Allocator Update
Understanding market trends in intermediary and institutional channels can assist organizations in differentiating their offerings. That's why, 3PM brought in industry experts Matthew McCue, FIN News, and Neil Bathon, FUSE Research, as we discuss current activity, market focus and industry updates in these important segments. Moderated by Sandra Powers Murphy, President of the Third Party Marketers Association, and CEO and Founder of ARK Global LLC, this session left participants with important market trends and competitive information to help make the most informed marketing and product development decisions. Watch Allocator Update here.
New Marketing
Gaining market share is critical to long term viability in the investment management business. However, the traditional paths to business development are no longer viable for most organizations seeking sustainable asset growth.
In mid- November, 3PM invited industry experts Michael Corcelli, Founder & Chairman of FLAIA, and Nich Darsch, Senior Vice President of Ultimus Fund Solutions, as we discuss new opportunities in marketing. To ensure the questions most commonly asked by investment managers are covered, we’ve asked Michael J. Egan, President of Gyroscope Capital Management, to participate in the conversation. Moderated by Sandra Powers, President of the Third Party Marketers Association and CEO and Founder of ARK Global LLC, this session provided participants with some new ideas around business development. Watch the recording here.
Brand Strategies
The EU School of Business recently stated that the world's most successful companies - Coca Cola, Amazon, Rolls Royce and Google all have one thing in common: a powerful brand. A foundational pillar for business and personal success, brands directly correlate to financial success.
On December 1, 2021, the 3PM Games welcomes LinkedIn influencer Stacy Havener, of Havener Capital. Stacy has built an incredible brand, including over 9,500 followers on LinkedIn, and have elevated the success of Third Party Marketers worldwide. Watch her session here.
Regulatory Update
There's no time like the present to get an update as to the topics that regulators are focusing on in our industry. Featuring regulation experts Lisa Roth, Darren Kane and Donna DiMaria, our speakers reviewed the most recent regulations that will affect your tomorrow.
The forty-five minute webinar covered a variety of regulators with oversight for 3PMs and will include updates for from the SEC, FINRA, MSRB, the States and others. Watch the Regulatory Update here.
3PM@3pm: Launching Packaged Products, August 31, 2017 at 3:00 pm EST
Considering establishing a new product structure? Join us for an exclusive webinar with Ultimus focused on the Why-How-When-Where-What of common product structures and distribution
Learn more about the opportunity and process for launching packaged products. We will discuss the timelines, costs and breakeven points for both mutual funds, collective trusts and other commonly used pooled vehicles that are being launched in support of both traditional and alternative managers. We will also review some best practices around distribution and the costs involved in adding products to many of the larger intermediary platforms.
Click here to gain access to the recording and slides of this session.
3PM@3pm: Grow Your Business, May 17, 2017 at 3:00 pm EST
Don't miss this unique opportunity to hear from industry expert Matt McCue, founder of Finsearches and Emerging Manager Monthly, regarding the state of the markets. Matt will provide several 'not to be missed' updates to enhance your opportunity set:
Industry Insight—what is happening in 2017
Manager Search Activity-who is getting hired/fired
Demo of the Enhanced FIN Searches Database
Click here to gain access to the recording and slides of this session.
PM@3pm: Leveraging Data and Machine Learning to Personalize Your Client Experience, March 2, 2017 at 3:00 pm EST
Join 3PM and Seismic's Craig Dunham as we discuss how organizations can maximize client interactions and experience by leveraging their own data and machine learning. Whether you are a marketing firm representing clients, an investment manager seeking to grow assets directly, or an industry associate seeking the latest in technology tools, this webinar will provide invaluable insight. Investment management firms and the wealth managers they market to are facing tremendous pressure from:
Shrinking margin
Increasing regulations
Perception of homogenous product suite.
Much of these pressures are due to a more sophisticated and informed generation of clients, advisors and portfolio managers. This generation frequently operates via digital channels, demands greater transparency and a more personalized experience. In this session, we will discuss ways to leverage data to counter the more sophisticated buyer with a more sophisticated seller. We will present some ideas on how a well-connected data infrastructure and machine learning can ease the above pressures.
Click here to gain access to the recording of this session.
3PM@3pm: Top 10 Factors To Maximizing Distribution in 2017, December 5 at 3:00 pm EST
Are you ready for 2017? Take advantage of industry experts in learning what Northern Lights Distributors sees as the top 10 factors that will drive successful distribution efforts in 2017.
Click here to gain access to the recording of this session
3PM@3pm: Top 10 Development Trends, October 3 at 3:00 pm EST
Are you offering the right product to win? Join Eddie Lund from Gemini Fund Services as he shares the top 10 product development considerations to maximize your opportunity set.
Click here to gain access to the recording of this session.
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.
3PM@3pm: Top 10 Development Trends, October 3 at 3:00 pm EST
Are you offering the right product to win? Join Eddie Lund from Gemini Fund Services as he shares the top 10 product development considerations to maximize your opportunity set.
Click here to gain access to the recording of this session.
3PM@3pm: Manager Exchange, July 28, 2017 at 3:00 pm EST
Join 3PM for 3PM@3pm: Manager Exchange webinar to learn the benefits of the Manager Exchange, how to navigate the platform, and the ways the Exchange can help your company grow.
Click here to gain access to the recording of this session.
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.
3PM @ 3pm: What the Fiduciary Rule Means for 3PMs and their Manager Clients, June 15, 2016 at 3:00 pm EST
Now that the DOL Fiduciary Rule has been approved, the industry is trying to digest just what this means for all of us. Victor Zimmerman, Shaun Reader and Javier Hernandez from Curtis, Mallet-Prevost, Cole & Mosle LLP will be on hand to help us understand the rule, what actions constitute advice and would cause someone to be considered an ERISA Fiduciary, exclusions from the rule as well as exemptions like the BIC which can be used to help 3PMs and their Manager clients to continue conducting business. Donna DiMaria, Chairman of 3PM and Co-Chair of the Regulatory Committee will moderate the session.
While the Rule mainly targets those working with individual investors, there are steps firms working with Institutional Clients and Financial Intermediaries such as consultants and RIAs need to consider. Despite including exclusions and exemptions from the rule, the DOL has written these items in a very narrow and limited manner which in fact, does offer as much relief as once thought. To further complicate the situation, many in the industry are still unclear as to what the DOL’s intent is in respect to certain aspects of the Rule.
These are just some of the issues the call will address:
• What actions will dictate whether a 3PM and their manager clients are considered an ERISA Fiduciary?
• What is meant by a “recommendation”?
• Who is considered an “advice provider’ under the Rule?
• What exclusions are there from the rule?
• What is the BIC Exemption and its requirements should a firm want to rely on this to continue doing business
The call will also cover various scenarios that a 3PM many engage in and help participant how a firm’s actions can be evaluated to assess the implications of the rule.
Click here to gain access to the recording of this session.
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.
3PM @ 3pm: Manager Bootcamp, March 3, 2016 at 3:00 pm EST
Are you an investment manager who wants to grow your AUM?
Spend 90 minutes with experts who can help solve that problem during 3PM’s Manager Bootcamp!
Third Party Marketers Association (3PM) members have raised billions of dollars for alternative and traditional managers.
• Need help telling your story?
• Wondering if you have the marketing materials you need?
• Debating between outsourcing marketing or hiring internal staff?
There is no cost to current members of 3PM and for non-members the cost is only $250. If you’re not a member yet, join our association and attend webinars and conferences for a discounted price. Get a year’s worth of networking and educational events and join us!
Click here to gain access to the recording of this session.
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.
3PM @ 3pm: Regulatory Update Webinar - Focus on MSRB, June 23, 2015 at 3:00 pm EST
Join 3PM for the 3PM @ 3pm: Regulatory Update Webinar - Focus on MSRB. This call will be presented by Donna DiMaria, CEO & CCO at Tessera Capital Partners, LLC. She will be joined by Lisa Roth, Registered Principal at Keystone Capital Corporation and Steven Jafarzadeh, CAIA Managing Director, CCO & Partner at Stonehaven.
Click here to gain access to the audio from this call.
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.
3PM @ 3pm: Compliance Webinar - 2015 Insights for US Managers regarding AIFMD and CISA, February 24, 2015 at 3:00 pm EST
Join 3PM for the 3PM @ 3pm: Compliance Webinar - 2015 Insights for US Managers regarding AIFMD and CISA. This call will be presented by Nick Colston from Simmons & Simmons, Nick is a senior associate in the Financial Services Regulation group in London. Nick specialises in advising both buyside and sell-side firms on all aspects of the UK and EU regulatory regimes.
Click here to gain access to the audio from this call.
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.
3PM @ 3pm – Pre-Turkey Talk: Product and Distribution Trends in the 40 act Market, November 25, 2014 at 3:00 pm EST
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 Murphy, Ark Global and 3PM Board Member, as they provide a product and distribution trending view point.
Click here to gain access to the audio from this call.
3PM @ 3pm – Regulatory Update Call Agenda, October 14, 2014 at 3:00 pm EST
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
Click here to gain access to the audio from this call.
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.
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 marketer’s contracts and compensation structure and will offer creative ways to earn a living while still working within the confines of the rules. 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.
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.
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.
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.
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.
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.