Investment Operations

Mutual Fund Regulatory Compliance

Categories Compliance, Intermediate

Course Instructor

Course Level

Intermediate

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

9:00 am - 1:00 pm​

Description

Date: TBD

The Mutual Fund Regulatory Compliance virtual course is designed to introduce the participants to a variety of terms and forms. It is drafted towards the following types of industry personnel.

Who Should Attend

  • Entry-level lawyers and paralegals
  • Fund administration personnel
  • Internal audit departments
  • Mutual fund compliance personnel
  • Entry-level independent public accountants

Prerequisite: None

Agenda

Mutual Fund Basics

This session focuses on traditional mutual funds.  By the end of the session the course participant will be able to identify and elaborate on:

  1. The Mutual Fund Players
  2. The Laws
  3. The Paper (Requirements)
  4. Advisor Restrictions and Compliance Requirements
  5. Trading Regulations
  6. Custody Regulations
  7. Proxy Voting
  8. Identification of Conflicts of Interest and How Mitigated
  9. Code of Ethics Requirements
  10. Marketing Requirements

Other Investment Company Products

By the end of the session the course participant will be able to understand and discuss:

  1. Closed-End Funds
  2. Unit Investment Trusts (UIT’s)
  3. Exchange Traded Funds (ETF’s)
  4. Variable Insurance Products
  5. Section 529 Plans

Compensation for Mutual Fund

By the end of the session the course participant will be able to understand and discuss:

  1. Loads/Typical Share Classes
  2. Breakpoints
  3. Rule 12b-1 Fees
  4. Multi-Class and Master Feeder Funds
  5. Revenue Sharing
  6. Examples of Mutual Fund Distribution Regulatory Actions

Regulatory Update

By the end of the session the course participant will understand the background and current status of:

  1. Dodd-Frank
  2. JOBS Act
  3. Recent Changes to Regulation D
  4. New Money Market Rules
  5. Liquidity Risk Management
  6. Derivatives Risk Management
  7. Fund Valuation – New Rule 2a-5
  8. Special Pandemic Rules
  9. Other Topics of Interest, including:
  10. Advisers Act Issues
  11. Recent SEC Risk Alerts
  12. Cyber Security and Investment Companies and Investment Advisers
  13. Bitcoin and Crypto Currencies

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

Intermediate

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

9:00 am - 1:00 pm​

Description

Date: TBD

The Mutual Fund Regulatory Compliance virtual course is designed to introduce the participants to a variety of terms and forms. It is drafted towards the following types of industry personnel.

Who Should Attend

  • Entry-level lawyers and paralegals
  • Fund administration personnel
  • Internal audit departments
  • Mutual fund compliance personnel
  • Entry-level independent public accountants

Prerequisite: None

Agenda

Mutual Fund Basics

This session focuses on traditional mutual funds.  By the end of the session the course participant will be able to identify and elaborate on:

  1. The Mutual Fund Players
  2. The Laws
  3. The Paper (Requirements)
  4. Advisor Restrictions and Compliance Requirements
  5. Trading Regulations
  6. Custody Regulations
  7. Proxy Voting
  8. Identification of Conflicts of Interest and How Mitigated
  9. Code of Ethics Requirements
  10. Marketing Requirements

Other Investment Company Products

By the end of the session the course participant will be able to understand and discuss:

  1. Closed-End Funds
  2. Unit Investment Trusts (UIT’s)
  3. Exchange Traded Funds (ETF’s)
  4. Variable Insurance Products
  5. Section 529 Plans

Compensation for Mutual Fund

By the end of the session the course participant will be able to understand and discuss:

  1. Loads/Typical Share Classes
  2. Breakpoints
  3. Rule 12b-1 Fees
  4. Multi-Class and Master Feeder Funds
  5. Revenue Sharing
  6. Examples of Mutual Fund Distribution Regulatory Actions

Regulatory Update

By the end of the session the course participant will understand the background and current status of:

  1. Dodd-Frank
  2. JOBS Act
  3. Recent Changes to Regulation D
  4. New Money Market Rules
  5. Liquidity Risk Management
  6. Derivatives Risk Management
  7. Fund Valuation – New Rule 2a-5
  8. Special Pandemic Rules
  9. Other Topics of Interest, including:
  10. Advisers Act Issues
  11. Recent SEC Risk Alerts
  12. Cyber Security and Investment Companies and Investment Advisers
  13. Bitcoin and Crypto Currencies

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

Want to receive push notifications for all major on-site activities?