2b. IC – Navigating Your Mutual Fund Compliance Program (Basic)

Attendees will be provided with an overview of mutual fund compliance and will hear about best practices to comply with investment company rules. In addition, the panelists will share their best practices on how to be an effective mutual fund CCO.

Learning Objectives:

  • Provide an overview of Rule 38a-1, including the oversight of service providers
  • Define the Chief Compliance Officer role and provide best practices for building a strong relationship with Fund Boards
  • Discuss best practices for challenging rules and guidance – liquidity, valuation, distribution, etc.
  • Ask questions and gain insight on practical applications


Sponsored by:

Basic                        Program Level: Date: October 19, 2020 Time: 11:45 am - 1:00 pm Jodie Crotteau Joseph McDermott

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org