LAW7640 - Regulation of Mutual Funds

LAW7640 - Regulation of Mutual Funds

Course Number: 

7640

Type: 

Lecture

Credits: 

3

Prerequisite(s):

none

This course provides an overview of federal regulation of mutual funds and investment companies generally. The course opens by examining the operation and function of mutual funds, including their organization and corporate governance issues. The remainder of the course will be devoted to analyzing mutual fund regulation under the Investment Company Act and the Investment Advisers Act, including the following topics: fiduciary duties of investment advisers, registration and disclosure, market timing, fee and load regulation, shareholder voting by mutual funds, fund management, board composition, conflicts of interest, and other ethical issues. Securities Regulation preferred but not required.