MMI “Constructive Delivery” of Mutual Fund Prospectuses Executive Roundtable 2019 | Money Management Institute (MMI) | 15 August 2019 | Broadridge Financial Solutions, 1 Park Ave #12, New York, NY 10016, USA
Venue
Broadridge Financial Solutions
Broadridge Financial Solutions, 1 Park Ave #12, New York, NY 10016, USA
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| Event Date | Thu Aug 15 EDT (over 5 years ago) |
| Location |
Broadridge Financial Solutions
1 Park Ave #12, New York, NY 10016, USA |
| Region | Americas |
Details
This meeting will provide:
• Clear insight into the SEC's No-Action Letter and what it means
• Potential compliance impact and how to meet the legal requirements
• How to address operational and implementation considerations
This roundtable will be beneficial for Legal, Compliance, Operations and Technology professionals at broker-dealer firms. Join us to discuss the important legal, compliance and operational considerations and challenges involved in implementing the new Constructive Delivery option.
Speakers
2019 Speakers
Craig Pfeiffer
President & CEO, Money Management Institute
David B.H. Martin
Senior Counsel, Covington and Burling
Tom Bickerton
Head of Operations, Post-Sale Prospectus, Broadridge Financial Solutions
David B.H. Martin
Senior Counsel, Covington and Burling
Craig Pfeiffer
President & CEO, Money Management Institute