Investment Company Act for New Fund Advisers and Sub-Advisers

January 19, 2017 - 11:00 am
Investment Company
Shannon Behara, Erik Olsen

ACA Compliance Group is offering a new webcast training series designed to educate and update compliance professionals whose firms offer funds registered under the Investment Company Act of 1940 on regulatory issues and industry practices.

Please join ACA’s Shannon Behara and Erik Olsen on January 19, for the first webcast in the series that will cover the Investment Company Act for New Fund Advisers and Sub-Advisers. This webcast is designed to provide a basic understanding of compliance requirements associated with advising or sub-advising a fund registered under the Investment Company Act of 1940.

Topics covered include:

  • Understanding different types of funds covered by the Act;
  • Discussing additional requirements in policies, procedures and restrictions generally applicable to investment companies;
  • Understanding the roles and responsibilities of a fund’s service providers; and
  • Identifying questions that should be asked of sponsors and/or administrators.

Who should attend?
Compliance officers and investment professionals who want to understand the compliance responsibilities for advising or sub-advising a registered investment company, the structure and service providers common to investment companies and the responsibilities of each, and firms looking to grow via retail asset growth through mutual funds.

Throughout the webcast, the panelists will answer questions and respond to comments from attendees. To register, click here