Investment Company Regulatory Update
April 9, 2013
Tuesday 1:00 PM - 3:00 PM (ET)
This session will provide you with a virtual, real-time briefing on recent and pending investment company regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. The panel will address such “hot topics” as the impact of new CFTC Rule 4.5, mutual fund use of derivatives, the possibility of additional SEC staff guidance on valuation of securities held by mutual funds and recent enforcement actions against fund directors for valuation breaches. Recent and emerging trends in SEC inspections and enforcement will also be discussed.
After attending this course, attendees should be able to:
- Use the update on and analysis of regulatory reform initiatives to help you and your firm prepare for a dynamic regulatory environment
- Assess the potential impact of regulatory activity on mutual funds and investment advisers
- Apply practical advice on preparing for and grappling with today's shifting regulatory environment and its uncertainties
- List the compliance issues currently stamped "high-priority" and determine which regulatory developments affect your firm
- Develop risk management strategies that address SEC priorities
For whom: Designed to increase the professional competency of mutual fund professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Prerequisites for participation:
The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Investment Company Act of 1940.
Advance Preparation: None
Order this Desktop on Demand