Fund Operations: The Board, the Manager, and the Rest of the Cast
PLI New York
1177 Avenue of the Americas
New York, NY
Blank Rome partner Stacy H. Louizos will serve as a panelist at Practising Law Institute’s (“PLI”) Basics of Mutual Funds and Other Registered Investment Companies 2023, being held in New York, New York, on Monday, April 17, 2023, from 9:00 a.m. to 5:00 p.m.
This program is designed to provide attendees with a basic overview of the legal, regulatory, and operational issues affecting “registered investment companies”—the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”), and others. Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds as well as hot topics and developments affecting this $13 trillion industry. A distinguished faculty of practitioners will offer insights into regulatory and enforcement developments—including the current administration and Securities and Exchange Commission—that could significantly change the landscape of the retail investment management industry.
Stacy’s session, “Fund Operations: The Board, the Manager, and the Rest of the Cast,” will take place from 10:15 to 11:15 a.m. and she will be joined by Bibb L. Strench (Thompson Hine LLP) and Gregory N. Bressler (SunAmerica Asset Management, LLC).
ABOUT THE SESSION
Congress designed the Investment Company Act to address the multiple conflicts of interest and challenges publicly offered funds face. This session focuses on the various individuals and entities that are compelled by the statute and rules to oversee fund operations. After completing this session, participants will be able to:
- Describe the role of independent directors
- Better understand the structure of the advisory relationship
- See the role played by other service providers
Other program sessions include:
- The Registered Fund Industry: Evolution to Today
- Fund Structures: How to Choose and Differences Between Them
- Fund Marketing: Distribution and Advertising
- Fund Strategies: From Equity and Debt to Digital Assets and ESG
- Fund Litigation
- The SEC Regulatory Agenda for Funds
CLE credit may be available.
PLI is a nonprofit learning organization dedicated to keeping attorneys and professionals at the forefront of knowledge and expertise, as well as preparing them to fulfill their pro bono responsibilities.
For more information and to register, please visit the program webpage.