The 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 and regulators, including current and former SEC officials, will offer insights into recent proposals that could result in the potential overhaul of regulations governing money market funds and the SEC examination process, plus recent litigation and enforcement decisions.
Mark Holland, a partner in the firm’s Litigation Department and a member of its Securities Litigation & SEC Enforcement Practice, will speak on a panel on Fund Litigation from 3:15-4:15PM.
For further information, please visit: http://www.pli.edu/Content/Seminar/Basics_of_Mutual_Funds_and_Other_Registered/_/N-4kZ1z11if2?ID=259478