PLI - Basics of Mutual Funds & Other Registered Investment Companies 2019

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Registration Options

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TypeTitleStartEndCLEPrice
Mechanicsburg
PBI Conference Center
5080 Ritter Road, Rossmoyne Exit, Rt. 15, Mechanicsburg PA, 17055
STARTMon., May. 06, 2019
9:00 AM
ENDMon., May. 06, 2019
5:15 PM
CLE 6.5 sub/0 eth PRICE $1,850.00
Philadelphia
The CLE Conference Center
Wanamaker Building, 10th Floor, Suite 1010, Philadelphia PA, 19107
STARTMon., May. 06, 2019
9:00 AM
ENDMon., May. 06, 2019
5:15 PM
CLE 6.5 sub/0 eth PRICE $1,850.00
Pittsburgh
PBI Professional Development Center
Heinz 57 Center, 339 Sixth Avenue, 7th Fl., Pittsburgh PA, 15222
STARTMon., May. 06, 2019
9:00 AM
ENDMon., May. 06, 2019
5:15 PM
CLE 6.5 sub/0 eth PRICE $1,850.00

About

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

Faculty

No speakers have been associated with this event.
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.
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