The 2016 Compliance &
Operations Workshop
Tuesday, June 21, 2016
4:30 p.m. – 5:00 p.m. Networking
5:00 p.m. – 6:30 p.m. Workshop
Scripps Center Conference Room
312 Walnut Street, 10th Floor
Cincinnati, Ohio 45202
(parking available in Scripps Center garage)
Recapping the Investment Management Conference and ICI Compliance & Operations Conference
Topics Include:
- Proposed Liquidity Management Rules for Mutual Funds & ETFs
- Distribution in Guise and Rule 12b-1
- Impact of the DOL Fiduciary Rule on Mutual Funds and Managers
- Proposed Derivatives Rules for Registered Funds
- Lightning Round – Highlighting other Topics of Interest
Guest Panelists:
- Tom Knipper, Ameritas Investment Partners
- Cassandra Borchers, Thompson Hine LLP
- Martin Dean, Ultimus Fund Solutions
The Seminar is open to all employees in your organization, a benefit of your membership and participation in the Greater Cincinnati Mutual Funds Association.
Please forward this notice to other associates who may benefit from participation (i.e. portfolio management, call center & transfer agent teams, marketing department, etc.)
Attending a GCMFA event provides financial professionals continuing education and the opportunity to interact and network with their peers who face the same daily challenges.
Program is Free to GCMFA members!
$100 non-member fee.
Deadline for Reservations: June 14, 2016
See Attached Flyer 16-06-21 Compliance Operations Workshop Flyer for Details To register, reply via email or fax the 16-06-21 Compliance & Operations Workshop Registration Form to 513-939-2653.