Basics of Mutual Funds and Other Registered Investment Companies 2022 | Practising Law Institute (PLI) | 6 April 2022 | PLI New York - Online , 1177 Avenue of the Americas, Entrance on 45th Street New York, NY

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 operations and the role of the board
• Fund marketing: Distribution and advertising
• Fund strategies: From equity and debt to digital assets and ESG
• 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.

Prerequisites: An interest in mutual funds and other registered investment companies.

Intended Audience: 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.

2022 Speakers

CHAIRPERSONS:

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

Laurin Blumenthal Kleiman
Sidley Austin LLP

SPEAKERS:

Edward Baer
Ropes & Gray LLP

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

Rajib Chanda
Simpson Thacher & Bartlett LLP

James Day
Vice President, Chief Counsel, FINRA Enforcement

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

Jill Forte
Senior Counsel, Asset Management, Thrivent Financial

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

Stacy H. Louizos
Blank Rome LLP

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

Lori A. Martin
Wilmer Cutler Pickering Hale and Dorr LLP

Jean E. Minarick
Senior Counsel, Office of Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission

Angela Montez
Eversheds Sutherland (US) LLP

James C. Munsell
Sidley Austin LLP

Robert A. Skinner
Ropes & Gray LLP

Bibb L. Strench
Thompson Hine LLP

S. André Warner
Vice President and Associate General Counsel, Office of the Chief Investments Counsel, New York Life Insurance Company