6-Hour Program

See Credit Details Below


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This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds as well as hot topics and developments affecting this $13 trillion industry.  A distinguished faculty of practitioners will offer insights into regulatory and enforcement developments – including the new administration and SEC -- that could significantly change the landscape of the retail investment management industry.

What You Will Learn

  • The history of registered fund regulation
  • How funds are created, managed and sold
  • How Fintech is impacting the fund business
  • The extensive variety of publicly offered funds, including money market funds, mutual funds, closed-end funds, exchange-traded funds and variable insurance products
  • New requirements relating to mutual fund liquidity and investments in derivatives
  • The SEC’s 2019 regulatory and exam priorities
  • Fund valuation issues
  • Litigation and enforcement hot topics
  • SEC focus on “alternative” investment companies
  • Inherent conflicts of interest—and how they are addressed

Program Level: Basic

Prerequisites: An interest in mutual funds and other registered investment companies.

Intended Audience: Anyone entering the investment management industry will benefit from this fundamental overview of the regulation and operation of registered investment companies, as will anyone already working in the industry who would like a refresher. 

Advanced Prep: None


Credit Details