Mutual Fund Regulation and Governance
X58.8909
/ $475
SPRING 2010
Continuing Education:
Accounting, Taxation, and Legal Programs
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:
Corporate Governance Workshop: The Fundamentals/X58.8906.
1.5 CEU (17 50-minute hours)
This course is applicable toward:
Related Subject Areas: Law
Course Materials
Section 1
Saturday 9:00am-5:00pm
April 3 - April 10
2 Sessions
Location: Midtown Center, 11 W 42 St
