Mutual Fund Regulation and Compliance


Thursday, July 19, 2012 - Friday, July 20, 2012


Thomas S. Harman, Morgan Lewis & Bockius LLP; Amy R. Doberman, general counsel, Pro Share Advisors LLC; Philip H. Newman, Goodwin Procter LLP; Ruth S. Epstein, Stradley Ronon Stevens & Young, LLP


Washington Marriott
775 12th St, NW
Washington , DC 20005
United States




day one 8 am-5 pm, day two 8 am-4:30 pm

CLE Credits:

12 hrs


This annual course is designed for attorneys, compliance officers and professionals involved with counseling or operating mutual funds or their service providers. It will provide comprehensive training in mutual fund law and compliance. The sessions will explain the core principles of the Investment Company Act of 1940 and how the Act affects the operations of the fund and its service providers today including advisers, distributors, transfer agents and administrators.

Leading experts from the bar, industry and regulatory agencies will provide in-depth instruction and practice advice on all areas of mutual fund law and compliance, including the latest developments in financial services regulatory reform as they affect mutual funds. Special attention will be given to developments that are affecting the industry such as derivatives and other complex securities, electronic communications and social media, emerging trends in SEC enforcement actions, and compliance and risk management.


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