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Broker-Dealers Regarding Mutual Fund Fee Waivers
Broker-Dealers Regarding Mutual Fund Fee Waivers

July 21, 2015

Broker Dealer

Speaker: Travis Dragomani, Senior Principal Consultant, ACA Compliance Group

Speaker: Jeffrey Kalinowski, Partner, Bryan Cave

Speaker: Jeffrey Ziesman, Partner, Bryan Cave

Webcast Discussion Includes:

  • Identifying mutual fund fee waivers for retirement and charitable accounts
  • Developing controls for the supervision of appropriate mutual fund share class sales in retirement and charitable accounts
  • Identifying the scope of mutual fund fee waiver issues and self-reporting
  • SEC and FINRA regulatory guidance and exam and enforcement activity
  • Issues involving potential remediation to customers