| Front Matter |
Clifford E. Kirsch ~
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| Table of Contents |
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| Chapter 1: Forming, Organizing and Operating a Mutual Fund—Legal and Practical Considerations |
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| Chapter 2: Pricing and Valuation of Mutual Fund Shares |
Allen M. Goldstein ~ PricewaterhouseCoopers LLP
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| Chapter 3: Distribution of Mutual Fund Shares |
Stephen H. Bier ~ Dechert LLP
Keith T. Robinson ~ Dechert LLP
Allan J. Oster ~ Nationwide Funds Group
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| Chapter 4: Mutual Fund Disclosure |
Alice A. Pellegrino ~ The Hartford Life Insurance Company
Ellen W. Harris ~ Sidley Austin LLP
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| Chapter 5: The Fund Board of Directors and the Fund’s Relationship with the Adviser |
Sarah E. Cogan ~ Simpson Thacher & Bartlett LLP
Audrey C. Talley ~ Drinker Biddle & Reath LLP
Philip L. Kirstein ~ AllianceBernstein
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| Chapter 6: Compliance Issues—The SEC’s Examination Program Panel Agenda |
Jeffrey C. Morton ~ ACA Compliance Group
Valerie M. Simpson ~ Prudential Investment, LLC
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| Chapter 7: U.S. Securities and Exchange Commission Speech by SEC Staff: “Compliance in Today’s Environment: Step Up to the Challenge”—Remarks Before the IA Compliance Best Practices Summit 2009 by Lori A. Richards |
Jeffrey C. Morton ~ ACA Compliance Group
Valerie M. Simpson ~ Prudential Investment, LLC
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| Chapter 8: U.S. Securities and Exchange Commission Speech by SEC Staff: “Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals by Lori A. Richards |
Jeffrey C. Morton ~ ACA Compliance Group
Valerie M. Simpson ~ Prudential Investment, LLC
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| Chapter 9: U.S. Securities and Exchange Commission Sample Request Letter |
Jeffrey C. Morton ~ ACA Compliance Group
Valerie M. Simpson ~ Prudential Investment, LLC
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| Chapter 10: Recent Regulatory and Industry Developments |
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| Chapter 11: The SEC’s Examination Program |
Jeffrey C. Morton ~ ACA Compliance Group
Valerie M. Simpson ~ Prudential Investment, LLC
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| Faculty Bios |
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| Index |
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