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