Sara P. Crovitz

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.

Moderator:
Sara P. Crovitz, Partner, Stradley Ronon

Panelists:
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