9c. IC – Navigating the Challenges of the Mutual Fund Compliance Program

Attendees will learn about the best practices to comply with investment company rules and how to be an effective mutual fund CCO.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Requirements of Rule 38a-1, including oversight of the service providers
• Best practices for challenging IC rules and guidance – liquidity, valuation, distribution, etc.
• How to build a strong relationship with Fund Boards
• Mitigating conflicts: auditor independence, side-by-side management, trading and affiliations

Sponsored by:

Panel                        Program Level: Intermediate Date: October 23, 2019 Time: 9:45 am - 10:45 am Matt Chambers Tito Pombra