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Investment Management Regulation--2005

These materials are designed for private practitioners, corporate counsel, and compliance personnel who deal with mutual funds and related investment vehicles. The materials cover developments in investment management regulation and, in particular, recent regulatory initiatives concerning the mutual fund industry and alternative investment vehicles such as hedge funds.CL045

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Coursebook Forms:

Distribution of Mutual Funds (8 pp) $29.00

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Coursebook Papers:

Compliance Programs for Mutual Funds and Investment Advisers: One Year after Adoption (24 pp) $29.00

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How to Conduct and Annual Compliance Review (58 pp) $39.00

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Organization of a Private Investment Fund: Basic Structural and Legal Issues (44 pp) $29.00

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A Brief Outline of Certain Current Developments Affecting Managers of Private Investment Funds (8 pp) $29.00

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Soft Dollars and Best Execution (36 pp) $29.00

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Conflicts Update 2005 (22 pp) $29.00

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NASD Regulatory Developments (84 pp) $39.00

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Coursebook Subscription - Securities
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