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

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Liquidity Rule

Modernization Rules

SEC 2017 Focus Areas

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MoneyMarket Reform

Customer Due Diligence

Intermediary Oversight NAV Correction

Business Continuity

New Presidential Administration Other

Regulatory Update

Cybersecurity Program

Questions