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MMI “Constructive Delivery” of Mutual Fund Prospectuses Executive Roundtable

August 15, 2019 | NYC
Broadridge

1 Park Ave
New York, NY 10016

MMI is sponsoring a complimentary executive roundtable on August 15 to help MMI members and other industry participants navigate the SEC's "Constructive Delivery" of Mutual Fund Prospectuses No-Action Letter. This event will be hosted by Broadridge Financial Solutions in their offices at 1 Park Avenue. This meeting will provide:

1. Clear insight into the SEC's No-Action Letter and what it means
2. Potential compliance impact and how to meet the legal requirements
3. How to address operational and implementation considerations

David Martin, former Director of the SEC's Division of Corporation Finance, will be participating as well as other industry experts. 

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. 

If you have any questions, please contact Hilary Fiorella, Senior Vice President, Membership Services, MMI at 646-868-8515 or AnnMarie Ferretti, Executive Assistant, Broadridge at 631-390-4084.

To register, please email MMI at events@mminst.org.

Additional Information

Agenda

VIEW AGENDA (PDF)

MMI Conference Code of Conduct/Antitrust Guidelines and Compliance Policy

Money Management Institute (MMI) conferences and events provide an opportunity for MMI members and other industry participants to come together for educational and networking purposes. Inappropriate behavior, such: as possible illegal conduct; use of derogatory or discriminatory language, gestures or actions; verbal or physical abuse of any type, unwanted advances or invasions of privacy; or any activity that might be construed as harassment, racism, or sexism, is unacceptable and will not be tolerated.

If you aware of, or are involved in an incident, at an MMI conference or event that violates this Code of Conduct, please contact MMI immediately. MMI will promptly and confidentially investigate any reported activities and take appropriate action.

Please also familiarize yourself with the MMI Antitrust Guidelines and Compliance Policy.

Questions?

Attendee and Speaker Registration:
events@mminst.org or (646) 868-8500

Other:
Hilary Fiorella
Senior Vice President, Membership Services
MMI
(646) 868-8515 

AnnMarie Ferretti
Executive Assistant 
Broadridge
(631) 390-4084