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Investment Management Regulation--2003

These materials address major issues in investment management regulation, including key aspects of, and issues presented in designing, a robust anti-money laundering program, ERISA issues for mutual fund advisers, structural and securities issues of offshore funds, use of derivatives in investment management, the regulation of Section 529 plans, current variable insurance product trends and issues, recent trends in fund distribution, and new developments in transparency in broker-dealer compensation. CJ 026

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Coursebook Papers:

Key Aspects of, and Issues Presented in Designing, a Robust Anti-Money Laundering Program (0 pp) $29.00

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ERISA Issues for Mutual Fund Advisers (0 pp) $29.00

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Offshore Funds: Certain Structural and Securities Issues (0 pp) $29.00

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CFTC Regulation: Use of Derivatives in Investment Management (0 pp) $29.00

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The Regulation of 529 Plans (0 pp) $29.00

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Current Variable Insurance Product Trends and Issues (24 pp) $29.00

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Recent Trends in Fund Distribution (0 pp) $29.00

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