Mutual Fund Regulation and Governance

In this one-day seminar, we will focus on the mutual fund industry and regulatory developments highlighting the results of recent scrutiny of industry structure and practices from legislators, regulators and investors. Topics will include SEC oversight and activism, fiduciary responsibilities of fund managers and advisors, the role of compliance officers, board structure and composition, directors, oversight responsibilities and related disclosure requirements.

No sessions currently available. Contact client services to get the next available date.
CPE CREDITS
7.0
Corporate directors and officers, executives, managers, portfolio managers.
No advance preparation required.
Students will be able to:
  • A practical knowledge of mutual funds/regulatory framework
  • An understanding of fund formation and shareholder reports
  • Knowledge of the Investment Advisers Act of 1940
  • Practical knowledge trading/custody of funds, proxy voting and corporate governance
None
Mutual Fund Regulation and Governance
Overview of Mutual Funds
  • Investment advisor
  • Board of Directors
  • Underwriter
  • Custodian
  • CCO
Overview of Mutual Funds

Regulatory Framework

  • Investment Company Act of 1940
Regulatory Framework

Fund Formation

  • Capital structures
  • Voting rights
Fund Formation

Shareholder Reports

  • ICA Reports
Shareholder Reports

Regulation of Investment Adviser

  • Investment Advisers Act of 1940
Regulation of Investment Adviser

Trading/Custody of Funds

    Trading/Custody of Funds

    Proxy Voting

      Proxy Voting

      Corporate Governance

      • Board structure and process
      Corporate Governance

Clients who register for this course will receive a complimentary 4-month subscription to FT.com. The Financial Times is the world's most respected financial newspaper, providing a broad assessment on finance, business and the industrial sector. The move to the electronic version follows an ongoing review of our environmental responsibilities as a global business and as part of the Pearson group. FT.com also has features that are not available in hard copy, such as: Special Reports, Alphaville, editor blogs, education sections and much more! Subscriptions will start within 6-8 weeks of the start of class and are limited to one subscription per client. (Please note: as of May 1, 2011, the electronic subscription replaces the hard-copy 3-month Financial Times subscription.)

Lunch is included for all students taking day classes.