Rule 30e-3: Notice, Access & E-Delivery

Recorded On: 11/28/2018

Join our panel of experts to explore the key aspects and required action items related to the 30e-3 ruling. This webinar will take a deep dive into the impact on multiple facets of the industry and will provide insight from diverse perspectives regarding implementation and execution strategies.

Mary Corcoran (Moderator)

Senior Vice President, Invesco Investor Services

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.

Naadia Burrows

Chief Diversity Officer, Broadridge

Naadia Burrows is Broadridge Financial Solutions’ newly appointed Chief Diversity Officer. Naadia has held various roles of increasing seniority over the course of her 25 years with Broadridge and its predecessor companies. She is now responsible for designing and implementing a holistic DEI strategy, and partnering with Broadridge's business units and Human Resources team to develop the resources and competencies needed to enhance the organization's culture of belonging and diversity. She is

joining Broadridge’s Executive Leadership Team and will serve as an advisor on global initiatives, such as Broadridge's Executive Diversity Council, Associate Networks, recruitment, and compliance efforts. Prior to being appointed Broadridge’s CDO, Naadia led the organization’s Mutual Fund Regulatory Communications business, which services more than 900 mutual fund complexes. In addition to her P&L ownership responsibilities, Naadia is credited with driving go-to-market strategies and product development efforts. She also actively met with the Securities and Exchange Commission and other industry constituents regarding regulatory matters to help ensure investor communication improve shareholder experiences and provide cost efficiencies. She began her career with the company in 1995, starting in client services and quickly assuming management responsibilities, becoming a Vice President in 2009 and a General Manager in 2017. Her experience in the financial services industry includes
expertise in executive management, client services, operations, and product development. Naadia is a dynamic leader, a supportive mentor and a trusted partner.  

Naadia earned her Bachelor of Science in Economics and a minor in Africana Studies from Stony Brook University, and has completed Columbia Executive Education and Wharton/Securities Industry and Financial Markets Association leadership and executive education programs.

Philip Kolb

Managing Director, Head of Product Group Services, Morgan Stanley

Key:

Complete
Failed
Available
Locked
Webinar
Recorded 11/28/2018
Recorded 11/28/2018