Insights & News

Investment Adviser Association Compliance Conference:
Registered Investment Companies Update

March 7, 2024
10:35-11:35 a.m. ET

Marriott Marquis Washington, D.C.
901 Massachusetts Ave NW
Washington, District of Columbia 20001

Examine the latest trends and compliance best practices for registered investment companies, including mutual funds and ETFs, around the 15(c) process for advisers and other governance practices around fees, disclosures and reporting, 38a-1 compliance programs, the names rule, the use of derivatives, fair valuation, and liquidity risk management.

Sara P. Crovitz, Partner, Stradley Ronon

Naseem Nixon, Vice President and Associate Counsel, Capital Group
Reza Pishva, Director, General Counsel, and Chief Compliance Officer, Payden & Rygel Investment Management
Jennifer Reiche, IACCP®, Chief Compliance Officer, Eventide


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