COVID-19: Regulatory Climate Update & Relief Briefing

Recorded On: 04/01/2020

Industry regulatory experts assess the regulatory climate, including current and pending regulatory relief for fund managers, registered investment companies and respective boards. Join our panel of industry thought leaders for a regulatory climate assessment, including an update on relief for fund managers, registered investment companies and respective boards.

o SEC Exemptions

o NFA Relief

o IRS/Treasury Guidance

o FINRA Relief

o and more

Michael Donowitz (Moderator)

Vice President of Regulatory Affairs, Broadridge

Jay Herold

Vice President and Sr. Counsel

MFS

Jay C. Herold is a vice president and senior counsel at MFS Investment Management® (MFS®). In his role, he is responsible for providing legal counsel in the areas of mutual fund distribution and broker/dealer regulation. He regularly advises key personnel on fund distributor and transfer agent issues for US registered investment companies and UCITS funds.

Jay joined MFS in 2013. He previously spent nine years at Fidelity Investments serving in various roles, including most recently as senior legal counsel supporting Fidelity’s outside mutual fund distribution platform.

Jay earned a Bachelor of Science degree from Emerson College and a Juris Doctor degree from St. Thomas University.