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Mutual Fund Distribution Roundtable

May 2018

Listen to Recording (CLE/CPD Credit Available)

This webinar is designed to assist CCOs and other professionals involved in overseeing mutual fund distribution activities in dealing with today’s tough challenges. Industry-knowledgeable panelists from K&L Gates, ACA, and the industry discuss topics relevant to regulatory requirements unique to mutual fund distribution.

Agenda topics include:

  • Did we DIG out? What’s next on the SEC’s radar now with share class payments?
  • Regulatory focus on Exchange Traded Products - it’s not just the SEC anymore.
  • Are “clean shares” still alive? Firm approaches to the DOL requirements with the recent 5th circuit decision.
  • Impacts of a proposed SEC Fiduciary Rule 
  • Product rationalization – firm approaches to avoid being kicked off of various platforms.
  • Update on the GIPS Guidance Statement on Broadly Distributed Pooled Funds.
  • FINRA update and exam observations:
    •  Books and records – the recent enforcement actions related to Rule 17a-4 records storage
    • FINRA Requests Comment on Proposed New Outside Business Activities Rule
    • Advisory activities of dual hatted registered reps that execute discretion over advisory accounts - FINRA Reg Notice 18-08