Investment management partner Paulita Pike (Chicago) will speak at the 2015 Investment Company Institute (ICI) Mutual Fund Compliance Programs Conference, held in Washington, D.C. on May 7. Ms. Pike will participate on a panel titled “Looking over the Shoulders of Distributors: Intermediary Oversight in Today’s Distribution Environment,” which will focus on issues arising from the SEC’s targeted review of mutual fund distribution arrangements, the application of Rule 12b-1 and the SEC’s 1998 guidance in today’s distribution environment, and board reporting. The panel will be moderated by Robert Zakem, general counsel and CCO of RidgeWorth Investments and include Matt Calabro, deputy CCO of Delaware Investments, Randall Fillmore, CCO of Aquila Investment Management LLC and Gregory Moye, compliance manager of Russell Investments.
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