Mutual Fund Distribution Roundtable

17 May 2018


K&L Gates
State Street Financial Center
One Lincoln Street
Boston, MA 02111
United States of America

We are co-hosting a seminar with ACA Compliance group, which designed to assist CCOs and other professionals involved in overseeing mutual fund distribution activities to deal with today’s tough challenges. Our industry-knowledgeable panelists from K&L Gates, ACA, and the industry will discuss topics relevant to regulatory requirements unique to mutual fund distribution.

Agenda topics will include:

  • 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.
  • Impacts of a proposed SEC Fiduciary Rule
  • Product rationalization – firm approaches to avoid being kicked off of various platforms.
  • Update on the GIPS Guidance Statement on Broadly Distributed Pooled Funds.
  • 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

Speakers include:

  • Richard F. Kerr, Partner, K&L Gates
  • Chih-Pin Lu, Chief Counsel, Asset Management Group, Raymond James
  • Michael Mahoney, CCO, John Hancock Distributors LLC
  • Michael W. 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

8:30 a.m. - 9:00 a.m. Registration
9:00 a.m. - 11:00 a.m. Program

Please note that this event will be closed to SEC personnel and other industry regulators, as well as the media. We appreciate your attention to and understanding of this matter.

CLE Credit Pending.

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