Course Handbook  Course Handbook

Basics of Mutual Funds and Other Registered Investment Companies 2018

Publication Date: May 2018 Number of Volumes: 1
ISBN Number: 9781402431692 Page Count: 270 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: Laurin Blumenthal Kleiman and Carla G. Teodoro, Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations (January 2017) Laurin Blumenthal Kleiman ~ Sidley Austin LLP
Chapter 2: Fund Anatomy (May 14, 2018) Bibb L Strench ~ Thompson Hine LLP
Chapter 3: Cynthia R. Beyea and Ronald Coenen, Jr., SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule (January 5, 2017) Cynthia R Beyea ~ Eversheds Sutherland (US) LLP
Chapter 4: Simpson Thacher Alerts on Distribution in Guise (March 2018) Rajib Chanda ~ Simpson Thacher & Bartlett LLP
Chapter 5: Compliance Considerations for Sub-Advisers to Registered Investment Companies Shannon Behara ~ Partner, ACA Compliance Group
Chapter 6: Registered Investment Company Regulation and Compliance (PowerPoint slides) Shannon Behara ~ Partner, ACA Compliance Group
Gerald Lins ~ Managing Director and General Counsel, Voya Investment Management
Chapter 7: Excessive Fee Litigation and The Investment Company Act of 1940 Lori A Martin ~ WilmerHale LLP
Chapter 8: U.S. Securities and Exchange Commission, Keynote Address by Dalia Blass, Director, Division of Investment Management at the ICI 2018 Mutual Funds and Investment Management Conference (March 19, 2018) Matthew Thornton ~ Assistant General Counsel, Investment Company Institute
Chapter 9: U.S. Securities and Exchange Commission, Staff Letter to the Investment Company Institute and the Securities Industry and Financial Markets Association, Re: Engaging on Fund Innovation and Cryptocurrency-related Holdings (January 18, 2018) Matthew Thornton ~ Assistant General Counsel, Investment Company Institute
Index

This Course Handbook was compiled for the program, Basics of Mutual Funds and Other Registered Investment Companies 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E Kirsch, Eversheds Sutherland (US) LLP
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