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
• 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