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Basics of Mutual Funds and Other Registered Investment Companies 2016

Seminar  Seminar

Why You Should Attend This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  Attendees will learn the fundamentals of the extensive regulatory framework that ...

Enforcement 2016: Perspectives from Government Agencies

Seminar  Seminar

Why You Should Attend We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s ...


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