Events

This session will provide an overview of registered investment companies, including mutual funds, exchange-traded funds, and closed-end funds, and organized, operated and regulated under the Investment Company Act. Panelists will discuss fund governance, disclosure requirements, liquidity and the role of advisers and service providers within the registered-fund ecosystem. After completing this session, participants will be able to:

• Distinguish the different types of public funds and understand key operational features
• Recognize core regulatory obligations under the Investment Company Act and related SEC rules
• Understand the role of advisers, fund boards, and service providers in the management of registered funds
• Anticipate regulatory developments and examination focus areas relevant to public funds
• CCB CEU Credit for Compliance Certification Board Professionals