Speaking Engagement

Fund Operations: The Board, the Manager, and the Rest of the Cast

PLI’s Basics of Mutual Funds and Other Registered Investment Companies 2024

PLI New York
1177 Avenue of the Americas
New York, NY 10036

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 2024, being held in New York, New York, on Monday, April 8, 2024, 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, 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.

CLE credit is available.

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.


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. Topics will include:

  • The role of independent directors
  • The structure of the advisory relationship
  • 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 Litigation: From Section 36(b) Litigation to Private Rights of Action and Much More
  • The SEC Regulatory Agenda for Funds

PLI is a nonprofit learning organization dedicated to keeping attorneys and other 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.