Course Handbook  Course Handbook

Basics of Mutual Funds and Other Registered Investment Companies 2017

Publication Date: April 2017 Number of Volumes: 1
ISBN Number: 9781402428876 Page Count: 230 pages

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Table of Contents
Chapter 1: Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations (January 2017) Laurin Blumenthal Kleiman ~ Sidley Austin LLP
Carla G Teodoro ~ Sidley Austin LLP
Chapter 2: Fund Anatomy Bibb L Strench ~ Thompson Hine LLP
Chapter 3: 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
Ronald Coenen ~
Chapter 4: SEC Adopts Investment Company Liquidity Risk Management Program (October 13, 2016) Shannon Behara ~ Partner, ACA Compliance Group
Chapter 5: Excessive Fee Litigation and the Investment Company Act of 1940 Lori A Martin ~ WilmerHale LLP
Chapter 6: Investment Company Institute Letter to the U.S. Securities and Exchange Commission Re: Comments on Continued Listing Standards for Exchange-Traded Products (January 12, 2017) 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 2017.

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
Laurin Blumenthal Kleiman, Sidley Austin LLP
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Basics of Mutual Funds and Other Registered Investment Companies 2017 Clifford E Kirsch, Eversheds Sutherland (US) LLP
Laurin Blumenthal Kleiman, Sidley Austin LLP
 
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