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Mutual Fund Distribution Roundtable

April 2019

Listen to Recording (CLE/CPD Credit Available)

This webinar is designed to assist Chief Compliance Officers and other professionals in the oversight of mutual fund distribution activities in the current regulatory environment. Panelists include industry practitioners from ACA, K&L Gates, the Investment Company Institute, and others. Discussions focus on topics relevant to regulatory requirements unique to mutual fund distribution.

Topics include:

  • Marketing and Related Developments
  • SEC's Share Class Disclosure Initiative/Settlements
  • State Escheatment Issues and the IRS Revenue Ruling
  • Recent SEC Enforcement Actions of Note
  • Increase in Attempted Frauds/Senior Exploitation and FINRA Rule 2165
  • Exam Priorities of FINRA and OCIE/The SEC's Data Analytics Capabilities
  • Data Security

Speakers include:

  • C. Todd Gibson, Partner, K&L Gates
  • Thomas Grygiel, Principal Consultant, ACA Compliance Group
  • Richard F. Kerr, Partner, K&L Gates
  • Michael Mahoney, Chief Compliance Officer, John Hancock Funds
  • Tamara Salmon, Senior Associate Counsel, Securities Regulation, Investment Company Institute
  • Amy Shelton, Vice President and Chief Compliance Officer, American Century Investments