Why Mutual Fund Distributors Have Unique Compliance Requirements

Date: 
September 05, 2019 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Company Broker-Dealer
Speaker(s): 
Thomas Riley, Principal Consultant, and Thomas Grygiel, Principal Consultant

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.

Discussion Topics

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.