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Mutual Fund Distributor Compliance Officer Roundtable

30 April 2014

At this webinar panelists from K&L Gates, ACA Compliance Group, and the industry discussed topics relevant to the regulatory requirements unique to mutual fund distributors.

Topics covered included:

  • Regulatory Exams and FINRA Exam Priorities
  • Alternative Products Distribution/Marketing
  • Intermediary Oversight Update
  • FINRA Rulemaking and Guidance Update

Speakers:

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