Please join ACA Compliance Group's Thomas Riley and Thomas Grygiel on Thursday, September 5 at 11 am ET for a webcast to discuss the oversight of mutual fund distribution activities when dealing with current regulatory requirements. Our industry-knowledgeable consultants from ACA will discuss topics relevant to regulatory requirements unique to mutual fund distributors.
This webcast will cover:
- 12b-1 Payments (Distribution-In-Guise)
- Oversight of Intermediaries
- Anti-Money Laundering Monitoring Practices
- FINRA New Rulemaking and Guidance Impact on Distributors
- Documents Presented Annually to the Fund Board(s)
Who Should Attend
This webcast is ideal for CCOs, General Counsel, and Compliance Employees of a Mutual Fund Distributor.