Please save the date 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 with a live webcast to attendees in other locations at the same time.
- 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.
- Product rationalization – firm approaches to avoid being kicked off of various platforms.
- 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
- Rich Kerr, Partner, K&L Gates
- Chih-Pin Liu, Chief Counsel, Asset Management Group, Raymond James
- Michael Mahoney, CCO, John Hancock Distributors LLC
- Mike McGrath, Partner, K&L Gates
- Clair E. Pagnano, Partner, K&L Gates
- Steven Price, Director of Distribution Services, ALPS Fund Services, Inc.
- Nicholas Prokos, Partner, ACA Compliance Group
- Eden L. Rohrer, Partner, K&L Gates