Mutual Fund Distribution Roundtable

May 2018       Presenters: Richard F. Kerr, Michael W. McGrath, Clair E. Pagnano

This webinar is designed to assist CCOs and other professionals involved in overseeing mutual fund distribution activities in dealing with today’s tough challenges. Industry-knowledgeable panelists from K&L Gates, ACA, and the industry discuss topics relevant to regulatory requirements unique to mutual fund distribution.

Agenda topics 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

Mutual Fund Distribution Roundtable

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