Compliance Newsflashes

SIA Holds Mutual Fund Reform Updates Conference in October

The SIA is holding a Mutual Fund Reform Updates conference on Oct. 19 in New York. It will focus on the evolving mutual fund regulatory framework, and the business operations, sales and corporate governance challenges they pose. Topics broached will cover new regulatory framework, disclosure and transparency, mutual fund distribution and point of sale disclosure. Speakers include the Honorable Roel C. Campos, Commissioner, U.S. Securities and Exchange Commission, and Mary L. Schapiro, Vice Chairman, NASD and President, Regulatory Policy & Oversight, NASD Regulation.

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