Investment Operations

Mutual Fund Fundamentals

Categories Introductory

Course Instructor

Course Level

Beginner

Certification

4.0 CPE Credits

Delivery

Via Zoom

Hours (EST)

9:00 pm - 1:00 pm​

Description

*This course can be offered upon request and can be customized to fit your team’s needs.

Date: September 16

The Mutual Fund Fundamentals virtual course provides a broad and comprehensive overview of the mutual fund product area. This presentation highlights the Mutual fund product area and marketplace. The features/benefits of this diversified asset category are highlighted. Specifically, we will cover Open-Ended Funds, Closed-Ended Funds, and ETFs.  Hedge funds will be addressed only briefly to provide a contrast to the more traditional fund structures. In addition to reviewing the structure and construction of these funds, we will also address the various investment strategies (active vs passive, smart beta, passive plus, etc.)

Who Should Attend

The seminar would be useful for anyone whose duties entail some exposure to the mutual fund product area. The program would be especially helpful to those working in areas supporting Fund Manufacturing and Sales as well as middle- and back-office areas such as clearance and settlement, compliance, financial control, information technology, portfolio administration, or marketing.  Given the broad appeal of this product, it is worth to note much of this content likely has personal applications as well as professional applications.

Prerequisite: None

Agenda

Overview of Portfolio Management Essentials

  • Understanding Active vs Passive Management
  • Fundamentals of Benchmarking and Indexing
  • Alpha vs Beta, Active vs Passive: Smart Beta/Passive Plus

Size and Scope of the Fund Marketplace

  • Key Player: Open Ended/Closed End/ETF
  • Asset Breakdowns: Equities/Fixed Income/Alternatives

Open-Ended Mutual Funds

  • Construction/Structures: Creation/Redemption
  • Features/Benefits
  • Asset Selection: Equities/Bonds/Alternatives
  • Regulation
    • SEC Registration
    • Investment Company Act of 1940

Closed-Ended Mutual Funds

  • Construction/Structures:
    • Creation/Redemption
    • Exchange Liquidity
  • Features/Benefits
  • Regulation
    • SEC Registration

Exchange-Traded Funds

  • Role of Market Participants: Authorized Participants, Sponsors, Custodian)
  • Liquidity/Redemptions/Role of the Exchange
  • Asset Selection
    • Equities/Fixed Income/Commodities

Fund Objectives

  • vs Beta, Smart Beta
  • Leverage/Inverse
  • Sectors

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

Course Instructor

Course Level

Beginner

Certification

4.0 CPE Credits

Delivery

Via Zoom

Hours (EST)

9:00 pm - 1:00 pm​

Description

*This course can be offered upon request and can be customized to fit your team’s needs.

Date: September 16

The Mutual Fund Fundamentals virtual course provides a broad and comprehensive overview of the mutual fund product area. This presentation highlights the Mutual fund product area and marketplace. The features/benefits of this diversified asset category are highlighted. Specifically, we will cover Open-Ended Funds, Closed-Ended Funds, and ETFs.  Hedge funds will be addressed only briefly to provide a contrast to the more traditional fund structures. In addition to reviewing the structure and construction of these funds, we will also address the various investment strategies (active vs passive, smart beta, passive plus, etc.)

Who Should Attend

The seminar would be useful for anyone whose duties entail some exposure to the mutual fund product area. The program would be especially helpful to those working in areas supporting Fund Manufacturing and Sales as well as middle- and back-office areas such as clearance and settlement, compliance, financial control, information technology, portfolio administration, or marketing.  Given the broad appeal of this product, it is worth to note much of this content likely has personal applications as well as professional applications.

Prerequisite: None

Agenda

Overview of Portfolio Management Essentials

  • Understanding Active vs Passive Management
  • Fundamentals of Benchmarking and Indexing
  • Alpha vs Beta, Active vs Passive: Smart Beta/Passive Plus

Size and Scope of the Fund Marketplace

  • Key Player: Open Ended/Closed End/ETF
  • Asset Breakdowns: Equities/Fixed Income/Alternatives

Open-Ended Mutual Funds

  • Construction/Structures: Creation/Redemption
  • Features/Benefits
  • Asset Selection: Equities/Bonds/Alternatives
  • Regulation
    • SEC Registration
    • Investment Company Act of 1940

Closed-Ended Mutual Funds

  • Construction/Structures:
    • Creation/Redemption
    • Exchange Liquidity
  • Features/Benefits
  • Regulation
    • SEC Registration

Exchange-Traded Funds

  • Role of Market Participants: Authorized Participants, Sponsors, Custodian)
  • Liquidity/Redemptions/Role of the Exchange
  • Asset Selection
    • Equities/Fixed Income/Commodities

Fund Objectives

  • vs Beta, Smart Beta
  • Leverage/Inverse
  • Sectors

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

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