5d. IC – Investment Company Issues and Trends


In this advanced session, experienced fund compliance professionals will share how they are addressing certain key investment company topics and challenges.
Learning Objectives:
• Discuss current hot topics (i.e., fair valuation rule; derivatives rule; COVID post-mortem and future pivots)
• Discuss best practices for new and emerging strategies (i.e., ESG Funds and adequacy of disclosures)
• Understanding compliance issues related to management of ETFs (including launching and closing)
• Discuss the expanding role of the Chief Compliance Officer and the relationship with the Fund Board

Advanced                        Program Level: Panel Date: November 9, 2021 Time: 10:00 am - 11:15 am

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