March 16, 2015

Managing Intermediary Risk in the Face of SEC Scrutiny


The Investment Management Group of Drinker Biddle hosted a breakfast and panel discussion during the 2015 ICI Mutual Funds & Investment Management Conference. The panel addressed recent SEC scrutiny involving fund intermediaries and violations of Rule 12b-1, and how funds can manage their regulatory risks. The panel featured the following speakers:

  • Diana McCarthy, partner, Drinker Biddle
  • Tim O’Sullivan, director, Deloitte & Touche LLP
  • Mary Hansen, partner, Drinker Biddle
ICI Mutual Funds & Investment Management Conference

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