Join ACA Compliance Group and K&L Gates in Boston for a seminar designed to assist mutual fund distributor broker-dealer CCOs in dealing with today’s tough challenges. Our industry-knowledgeable broker-dealer panelists from K&L Gates, ACA and the industry will discuss topics relevant to regulatory requirements unique to distributors. This event will be held live in Boston and webcast to attendees in other locations at the same time.
K&L Gates will be tracking RSVPs for this complimentary event. Please click here to RSVP.
The event will be broadcasted by webcast. Click here to register for the webcast if you are unable to attend in person.
Topics to be covered:
- Distribution-in-guise concerns and continued difficulty to “DIG” out
- Role of Wholesalers on Oversight
- Related Industry Impact
- Blue-Sky Information
- Unclaimed Property
- FINRA New Rulemaking and Guidance Impact on Distributors
- Rule 2165 and Rule 4512
- Rule 2210
- Mutual Fund Distributor FINRA Exam “Insight”
Note that, if desired, discussion questions may be submitted prior to the meeting by emailing firstname.lastname@example.org.
For more information or questions, please contact Dee Stafford.