Mutual Fund Compliance – Parts 1 and 2 (Continued)


This course is presented in two sessions: Part 1 and Part 2. Registrants should attend both sessions in their entirety.

  • Date: TBD 2023
  • Recommended CPE Credits: 5.5
  • Duration: 2.5 Hours
  • Time: 2:00-4:30 p.m. ET


Product Information


This course assists participants in identifying compliance policies and procedures intended to meet the rules, regulations and requirements for open-ended funds as well as the companies, investors and advisers utilizing the products associated with the investment vehicle. This course will also address how to design a compliance program focused on preventing, detecting and correcting potential violations of the Federal Securities Laws.

This course is presented in two 2.5-hour-long sessions. Registrants should attend both sessions in their entirety.

Course Objectives

By the end of the course, participants will be able to:

  • Describe the SEC regulations and FINRA rules as they apply to Investment Companies and Investment Advisers
    • Investment Company Act
      • Board oversight/Fiduciary duty
        • Gartenberg factors/Related case law
      • Investment Advisers Act
      • Role of the CCO
        • Structure of CCO function
      • CCO and board Interactions
    • Identify compliance trends and issues in connection with mutual funds/and advisers.
      • Code of Conduct
      • Conflicts
      • Use of Sub-Advisers
    • Describe trading practices, soft dollar and research related issues, such as MIFID II for fund advisers
      • Trends in research and potential emerging regulatory issues
        • Fee Compression
        • ESG funds/Related regulatory scrutiny

Suggested Prerequisites: None

Program Level: Foundational

Target Audience: Anyone who wants to learn about mutual fund compliance, such as staff from compliance, legal, operations, IT, middle office, or HR, and regulators who work closely with various aspects of the mutual fund market.

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 5.5

Duration: 2.5 Hours Total

Price: $599/learner