7e. IC – Implementing Your Mutual Fund Compliance Program


Attendees will be provided with an overview of mutual fund compliance and will hear about best practices to comply with Investment Company Act rules and regulations. In addition, the panelists will share best practices on how to be an effective Mutual Fund Chief Compliance Officer.
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 some of the more challenging rules and guidance, such as liquidity, valuation, and distribution
• Ask questions and gain insight on practical applications

Sponsored by

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 2:00 pm - 3:15 pm Hope Brown Emily Gordy Michael (Mike) Shoemaker

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org