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The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting

Recorded on: Apr. 21, 2017
Running Time: 01:16:09

Full Transcript:



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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.

The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting [01:16:09]
  • The fund industry prior to regulation and Congress’s response to abuses
  • The Investment Company Act framework: focus on conflicts of interest, disclosure and investor protection
  • What are “registered investment companies?” – mutual funds, closed-end funds, exchange-traded funds, and how do they differ from “private funds?”
  • What’s on the horizon
Francis J. Facciolo (Jay), Clifford E. Kirsch, Laurin Blumenthal Kleiman

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

  • Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations (January 2017)
    Carla G. Teodoro, Laurin Blumenthal Kleiman

Presentation Material

  • The Evolution of an Industry
    Francis J. Facciolo, Clifford E. Kirsch, Laurin Blumenthal Kleiman
(s)
Francis J Facciolo ~ Assistant Director, Securities Arbitration Clinic, Professor of Legal Writing, St John's University Law School
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Laurin Blumenthal Kleiman ~ Sidley Austin LLP
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