FacultyFaculty/Author Profile

John C. Munch

SEI Investment Distribution Co
General Counsel
Oaks, PA, USA


John Munch has been a member of SEI’s Legal Team since 2001 and General Counsel of SEI Investments Distribution Co., SEI’s broker-dealer subsidiary, since 2004.  In addition, Mr. Munch leads the SEI Legal Department teams responsible for supporting SEI’s business units globally.  Prior to joining SEI, Mr. Munch was an associate with the law firm of Howard Rice Nemorvoski Canady Falk & Rabkin and, prior thereto, Seward & Kissel, specializing in the representation of mutual funds, investment advisers and broker-dealers.   Mr. Munch is a graduate of the University of Connecticut (B.A.) and Tulane Law School (J.D.).
John C. Munch is associated with the following items:
Web Segment  Web Segment Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
MP3 Audio  MP3 Audio SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Transcripts  Transcripts SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management: The Regulatory Framework - Broker-Dealer Retail Wealth Management: The Regulatory Framework, Friday, February 10, 2017
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017, New York, NY
Treatise Chapters  Treatise Chapters Pay to Play - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Live Seminar  Live Seminar Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Live Webcast  Live Webcast Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
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