Skip to content
+1 516.935.0923 consult@gfmi.com My Cart
GFMI logo
  • About Us
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us
DOWNLOAD OUR FULL COURSE LIST
Global Financial Markets Institute»Mutual Fund Operations

Mutual Fund Operations

The program content provides an introduction to the business structure of a typical mutual fund with a focus on its supporting operational lifecycle and functions. The variety of mutual funds available to investors will be described and compared. Along with types of mutual funds, the program content includes definitions and characteristics of the various fund classes. Participants will understand how mutual funds are sold and distributed, including the calculation of sales charges and fees (such as 12b-1fees). Differentiation between those expenses allocated to the fund investors and the fund manager will be made. All the participants in the mutual fund industry, including the Fund Manager the Transfer Agent, the Fund Administrator, the Distributors, and the Custodian and the roles that they play will be thoroughly examined. Participants will become familiar with the services afforded to the mutual fund and brokerage communities through DTCC, in particular, fund/SERV and networking. The Lifecycle of a Mutual Fund trade, from its inception as an order through its settlements will be analyzed.

Course Objectives

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

  • Identify the role and responsibility of the fund’s service providers, including custodians, transfer agents and administrators, fund accountants and providers of shareholder services
  • Recognize interfaces required for underwriters/distributors/wholesalers/sales agents and identify investor types and motivations
  • Describe the schematics of fund managers compensation programs

Suggested Prerequisites: None

Program Level: 201 – Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

Find out how we can help your organization.

  • About Us
    • Our Clients
    • Our Story
    • Our Team
    • Our Associations
    • Strategic Alliance
  • Insights
    • Newsletter
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Services
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Methods
    • Classroom Training
    • Online Learning — eLearning
    • Virtual Instructor-Led Training (VILT)
    • Financial Simulation
    • Blended Learning
  • Training Courses
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance
    • Credit and Credit Analysis
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis and Accounting
    • Fixed Income
  • Foreign Exchange
  • Insurance
  • Municipals
  • Mutual Funds and ETFs
  • Operations
  • Portfolio Management
  • Quantitative Methods and Excel
  • Regulation and Compliance
  • Risk Management
  • Securities Lending — Repurchase Agreements
  • Securitization Course – Structured Finance
  • Structured Products
  • Wealth Management
SIGN UP FOR OUR NEWSLETTER

Connect with us

Ⓒ 2018 Copyright Global Financial Markets Institute.

Powered by Power On Marketing

Privacy Policy

  • About Us
    ▼
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    ▼
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    ▼
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    ▼
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    ▼
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us