Regulatory Trends for 2021 and Beyond

Recorded On: 08/25/2021

By highlighting a variety of regulatory changes impacting asset managers, the program will help firms prepare for new and existing regulations. This panel will feature a combination of fund experts, legal professionals and compliance and regulatory executives.

Learning Objectives:

  1. 30e-3 Update –
    1. Best practices and how this is evolving
    2. How has the industry responded (both funds and shareholders)? 
  2. Tailored Reports –
    1. Status of the proposal and what it means for the industry
    2. We haven’t heard much since the comment period was up in January – what is the general consensus on this?
    3. How do funds prepare?
  3. SEC  -
    1. General updates with the new administration

This program is sponsored by:


Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None

Due to this program being offered free of charge, there will be no refunds issued.

Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

Kathleen Keenan (Moderator)

Vice President, Product Management


Kathleen Keenan is Vice President of Product Management for Investor Communication Services (ICS) on behalf of the Mutual Fund Regulatory Communications Business. Kathleen joined Broadridge in 2021.

Prior to Broadridge, Kathleen was Head of Product at GAGNONtax where she successfully helped to transform the company from a professional service to technology company by repurposing in-house technology for sale within a broader commercial market. Kathleen also served as Head of Product/Web Strategy at BISAM where she where she had responsibility for restructuring the product organization to enhance responsiveness, improve client relationships and grow market share. She had P&L responsibility for a multi-suite of SaaS offerings serving Performance Teams in Global Asset Management firms. Kathleen also spent a number of years leading product and service teams at both NASDAQ and Thomson Reuters.

Kathleen holds a MBA from the University of Massachusetts and a Bachelor of Science from Ithaca College.

Nathan Briggs


Ropes & Gray

Nathan Briggs is a partner in the asset management group. Nathan’s practice focuses on advising registered investment companies, their independent directors, and investment advisers. Nathan works on a variety of matters regarding the establishment, registration, reorganization, and operation of retail and institutional investment products, including providing advice with respect to governance, regulatory and compliance issues of all kinds affecting investment management industry clients.

Prior to working at the firm, Nathan interned at the Investment Adviser Association in Washington, DC where he assisted and worked with its members in a variety of lobbying and industry-related issues. Nathan holds a masters degree in international economic relations and has passed Level I of the Chartered Financial Analyst examination.

Jay Herold

Vice President and Sr. Counsel


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.

Amanda Hollander Wagner

Branch Chief, Division of Investment Management

U.S. Securities and Exchange Commission

Amanda Hollander Wagner serves as a Branch Chief in the Investment Company Regulation Office of the U.S. Securities and Exchange Commission’s Division of Investment Management. In this role, she develops regulatory policy recommendations for the Commission on a wide range of topics affecting registered investment companies and business development companies. She has served at the Commission since 2012. Prior to this time, Amanda was an associate in the investment management practice groups of two Washington, DC-area law firms. Amanda is a graduate of the Georgetown University Law Center and Princeton University.


08/25/2021 at 2:00 PM (EDT)  |  Recorded On: 08/25/2021
08/25/2021 at 2:00 PM (EDT)  |  Recorded On: 08/25/2021
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1.00 CPE Credits credit  |  Certificate available
1.00 CPE Credits credit  |  Certificate available