3-Hour Program

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This half-day program covers the regulatory framework governing bank fiduciary activity and bank collective funds. Banks and their affiliates act in a variety of fiduciary capacities including as an investment adviser and as a personal trustee.  At the same time collective investment funds, which have been around for many years, are undergoing a marked growth and today are a significant player in the industry. 

What You Will Learn

• Fiduciary Capacities
• The OCC’s Fiduciary Proposal 
• Regulation under OCC Part 9
• The Differences and Similarities between Common and Collective Funds 
• Exam priorities, trends and developments 
• Interaction with SEC and DOL Exam Programs

Special Feature

Half-day format


Program Level: Overview

Intended Audience: Legal, compliance and operational professionals involved in bank asset management and collective investment trusts including those who work at asset management firms, banks, trust companies or other service providers.

Prerequisites: An interest in Bank Asset Management and Collective Trust Funds.

Advanced Preparation: None 

Credit Details

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