Mutual Fund Distribution Roundtable

May 17, 2018 - 8:30 am to 11:30 am
Investment Company Broker-Dealer
K&L Gates Boston office State Street Financial Center One Lincoln Street Boston, MA 02111
Nick Prokos

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.

Discussion Topics

  • 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

Questions? Please contact Dee Stafford at or Maureen Colligan at with any questions.