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ACA Compliance Group and K&L Gates Compliance Roundtable for Mutual Fund Distributors

16 April 2013

Panelists from K&L Gates, ACA, and the industry will discussed topics relevant to the regulatory requirements for mutual fund distributors.

Topics included:

  • Recent FINRA Actions
  • Recent OCIE Initiatives
  • State Issues
  • FINRA Initiatives


  • Kenneth G. Juster, Associate, K&L Gates
  • Chih-Pin Lu, Managing Attorney, Raymond James Financial Inc.
  • Michael Mahoney, CCO, John Hancock Funds, LLC
  • Nick Prokos, Partner, ACA Compliance Group
  • Tamara Salmon, Senior Associate Counsel, Investment Company Institute

To view a recording of this webinar, please click here.  The password is: mutualfund.