Mutual Fund Regulation and Governance
X58.8909 /
Continuing Education
/ $475
FALL 2008
This course examines mutual fund industry and regulatory developments, emphasizing the results of recent scrutiny of industry structure and practices from legislators, regulators and investors. Topics include SEC oversight and activism, fiduciary responsibilities of fund managers and advisors, the role of compliance officers and the parameters of their independence, board structure and composition, directors? oversight responsibilities, and related disclosure requirements.
Prerequisites:
Prerequisite: Corporate Governance Workshop/X58.8906
This course is applicable toward:
Course Materials
Section 1
Saturday
9:00am-3:00pm
November 15
1 Sessions
Instructor:
William Jannace
Location: Midtown Center, 11 W 42 St
