transcript   Transcript

Fund Regulation

Recorded on: May. 15, 2018
Running Time: 01:00:47

Full Transcript:

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Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2018 Recorded May 2018 in New York

Fund Regulation [01:00:47]
  • Policy and Protocol:  the SEC’s Division of Investment Management
  • Policies and Procedures:  the SEC’s Office of Compliance Inspections and Examinations
  • Staying Out of the Penalty Box: the SEC’s Division of Enforcement
  • The “New” SEC
  • Other Important Regulators:  the Commodity Futures Trading Commission (“CFTC”), the Department of Labor (“DOL”) and others
  • FSOC focus on the asset management industry

Shannon Behara, Michael Weiner

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Compliance Considerations for Sub-Advisers to Registered Investment Companies
    Shannon Behara
  • Registered Investment Company Regulation and Compliance (PowerPoint slides)
    Gerald Lins, Shannon Behara

Presentation Material
  • Registered Investment Company Regulation and Compliance
    Shannon Behara, Michael Weiner
  • (s)
    Shannon Behara ~ Partner, ACA Compliance Group
    Michael Weiner ~ Executive Director, Morgan Stanley Wealth Management
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