ACA Compliance Group and K&L Gates Mutual Fund Distributor Roundtable

May 09, 2017 - 8:30 am
Roundtable Webcast
Investment Company Broker-Dealer
K&L Gates State Street Financial Center One Lincoln Street Boston, MA 02111-2950 Live webcast will be available to firms outside Boston
Nick Prokos, Partner, ACA Compliance Group

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.


Event Agenda

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



Xiomara Corral
K&L Gates

Michael Mahoney
Chief Compliance Officer
John Hancock Funds, LLC
John Hancock Distributors LLC

Richard Kerr
K&L Gates

Nick Prokos
ACA Compliance Group

Chih-Pin Liu
Chief Counsel,
Asset Management Group
Raymond James Financial, Inc.

Tamara Salmon
Senior Associate Counsel
Investment Company Institute


For more information or questions, please contact Dee Stafford.