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Updating the Non-DOL Regulatory Landscape
CRAIG HOLLIS Chief Compliance OfficerBoston Financial Data
Services, Inc.
DAN NEW Executive Director, Advisory Services Ernst & Young LLP
MARK BRADLEY Vice President, Treasurer
and Chief Financial & Accounting Officer
Pioneer Investments Management, USA
$
Liquidity Rule
Modernization Rules
SEC 2017 Focus Areas
$$$
MoneyMarket Reform
Customer Due Diligence
Intermediary Oversight NAV Correction
Business Continuity
New Presidential Administration Other
Regulatory Update
Cybersecurity Program
Questions
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