August 15, 2019 | NYC
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 firstname.lastname@example.org.