Why Mutual Fund Distributors Have Unique Compliance Requirements

Date
September 05, 2019
Time
On Demand
Location

Your desk!

Type
Webcast

Please join ACA 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.