Basics of Mutual Funds and Other Registered Investment Companies 2021 | Practising Law Institute (PLI) | 21 April 2021 | Practising Law Institute, 1177 6th Ave, New York, NY 10036, US

Why You Should Attend?

This 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 will offer insights into regulatory and enforcement developments – including the current administration and SEC -- that could significantly change the landscape of the retail investment management industry.

What You Will Learn?

• The history of registered fund regulation
• How funds are created, managed and sold
• The extensive variety of publicly offered funds, including open-end mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others
• Fund governance and the role of the board
• Fund valuation and pricing issues
• Litigation and enforcement hot topics

Who Should Attend?

Anyone entering the investment management industry will benefit from this fundamental overview of the regulation and operation of registered investment companies, as will anyone already working in the industry who would like a refresher.

2021 Speakers

CHAIRPERSON:

Clifford E. Kirsch
Partner, Eversheds Sutherland (US) LLP

Laurin Blumenthal Kleiman
Partner, Sidley Austin LLP

SPEAKERS:

Edward Baer
Counsel, Ropes & Gray LLP

Cynthia R. Beyea
Investment Management Partner, Eversheds Sutherland (US) LLP

Gregory N. Bressler
General Counsel, SunAmerica Asset Management, LLC

Stephanie A. Capistron
Partner, Dechert LLP

Rajib Chanda
Partner, Simpson Thacher & Bartlett LLP

James Day
Vice President, Chief Counsel, FINRA Enforcement Department

Andrew J. (Buddy) Donohue
Attorney-at-Law

Carol A. Gehl
Godfrey & Kahn, S.C.

Mark Holland
Partner, Goodwin Procter LLP

Stacy H. Louizos
Partner, Blank Rome LLP

Chih-Pin Lu
Chief Counsel, Asset Management Group, Raymond James Financial, Inc.

Lori A. Martin
Partner, WilmerHale LLP

James C. Munsell
Partner, Sidley Austin LLP

Trace W. Rakestraw
Branch Chief, Division of Investment Management, U.S. Securities and Exchange Commission

Bibb L. Strench
Partner, Thompson Hine LLP

David Sung
Independent Director, Audit Committee chair, Hartford Funds, Ironwood Capital

Matthew Thornton
Associate General Counsel, Investment Company Institute

Gwendolyn A. Williamson
Partner, Perkins Coie LLP