Basics of Mutual Funds and Other Registered Investment Companies 2023 | Practising Law Institute (PLI) | 17 April 2023 | Practising Law Institute, 1177 6th Ave, New York, NY 10036, USA

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?
After completing this program, participants will be able to:
• Know the history of registered fund regulation
• Understand how funds are created, managed and sold
• List the extensive variety of publicly offered funds, including open-end mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others
• Recognize fund operations and the role of the board
• Recall elements of fund marketing: Distribution and advertising
• Discuss fund strategies: From equity and debt to digital assets and ESG
• Identify 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.

2023 Speakers

Edward Baer
Ropes & Gray LLP

Gregory N. Bressler
Deputy General Counsel, Corebridge Financial, General Counsel, SunAmerica Asset Management, LLC

James Day
Vice President, Chief Counsel, FINRA Enforcement

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

Gerald T. Lins
Eversheds Sutherland (US) LLP

Stacy H. Louizos
Blank Rome LLP

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

Lori A. Martin
WilmerHale LLP

Sarah McLaughlin
Counsel, MFS Investment Management

Angela Mokodean
Branch Chief, Investment Company Regulation Office, Division of Investment Management, US Securities and Exchange Commission

James C. Munsell
Sidley Austin LLP

Robert A. Skinner
Ropes & Gray LLP

Bibb L. Strench
Thompson Hine LLP