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Fund Regulation

Recorded on: Apr. 21, 2017
Running Time: 01:00:29

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Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2017 recorded April , 2017 in New York.

Fund Regulation [01:00:29]
  • Policy and Protocol: the SEC’s Division of Investment Management
  • Policies and Procedures: the SEC’s Office of Compliance Inspections and Examinations
  • Staying Out of the Penalty Box: the SEC’s Division of Enforcement
  • The “New” SEC
  • Other Important Regulators: the Commodity Futures Trading Commission (“CFTC”), the Department of Labor (“DOL”) and others
  • FSOC focus on the asset management industry
Shannon Behara, Gladys Chang, Laurin Blumenthal Kleiman

The purchase price of this segment includes the following article from the Course Handbook available online:

  • SEC Adopts Investment Company Liquidity Risk Management Program (October 13, 2016)
    Shannon Behara

Presentation Material

  • Registered Investment Company Regulation and Compliance
    Shannon Behara, Gladys Chang, Laurin Blumenthal Kleiman
(s)
Shannon Behara ~ Partner, ACA Compliance Group
Gladys Chang ~ Vice President, BlackRock
Laurin Blumenthal Kleiman ~ Sidley Austin LLP
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