Virtual Event

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Event Date Mon Sep 13 EDT - Tue Sep 14 EDT (about 1 month ago)
Location Virtual Event
Region All

If you’re a new fund director, clarity about your role and responsibilities is essential, and if you’re a more-experienced director, keeping your skills sharp is vital.

The program is designed for directors with up to five years of experience, but it also enables more-experienced directors to refresh their core skills.

What will you learn?
• How mutual funds work and how they are regulated
• How to protect shareholder interests and oversee management of the fund
• How to handle a fund’s advisory contract renewal process
• How to oversee valuation, liquidity, compliance, and risk management

Attend the program that participating directors have called “timely,” “excellent,” and a “valuable resource.”

This event is open to fund directors of ICI member firms.

Continuing Professional Education (CPE) Credit.
Upon completion of Foundations for Fund Directors®, each participant will be eligible for approximately eight hours of CPE credit. The Investment Company Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual programs for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of

Learning objectives: By the end of this program, participants should be better able to:
• Recall several key mutual fund concepts and discuss their importance.
• Use the guiding principles for director oversight to aid in informed decisionmaking.
• Discuss the broad statutory, regulatory, and general oversight responsibilities of independent directors.
• Use the Gartenberg factors and other considerations as part of the advisory contract review and approval process (the 15(c) process).
• Discuss the board’s oversight role of the adviser’s management of the fund’s portfolio investments.
• Identify key considerations in overseeing the fair valuation process and liquidity risk management.
• Discuss the requirements of fund directors in providing compliance oversight and ways to promote a culture of compliance.
• Explain fund directors’ responsibilities as they relate to oversight of risk management.

◘ Program level: Basic
◘ Delivery mode: Group internet-based course
◘ Recommended fields of study: Specialized knowledge
◘ Prerequisites: No prerequisites or advance preparations are necessary for this program.
◘ Attendance: NASBA record keeping standards require that sponsors track participation regularly during a program and maintain an attendance record. Please answer all polling questions.

Sponsors & Partners

2021 Sponsors

• Cvent