Investment Management Basics

ABA/Morin Center National Institute: Investment Management Basics

In association with the American Bar Association Section of Business Law and the ABA Center for Continuing Legal Education, the Morin Center offers a national institute on Investment Management Basics. The program wil be offered in October 2009.

This course was developed to provide practitioners with an understanding of the basic laws and regulations governing investment companies and related parties. It is geared toward attorneys, consultants and other professionals who intend to work in the field either directly or peripherally. The course may also serve as a refresher for experienced practitioners whose practice has not provided an opportunity for the broad exposure offered by the course.

Information and Registration will be posted when available.

Topics include

  • The structure of the investment management industry
  • The anatomy of an investment company family of funds
  • The regulatory scheme imposed on investment companies and related service providers
  • The mechanics of the two 1940 Acts: Investment Company Act and Investment Advisors Act
  • Modern governance standards for invesment companies
  • Distribution of fund shares and the fiduciary and regulatory issues raised
  • Contrasting regulation of hedge funds and private equity funds
  • "Hot issues" in the industry

Faculty

  • Peter A. Ambrosini, Former Chief Compliance and Risk Management Officer,
    State Street Global Advisors
  • Barry P. Barbash, Willkie Farr & Gallagher LLP
  • Jay G. Baris, Kramer Levin Naftalis & Frankel LLP
  • James N. Benedict, Milbank, Tweed, Hadley & McCloy LLP
  • Tamar Frankel, Professsor of Law, Boston University School of Law
  • Stuart E. Fross, Wilmer Cutler Pickering Hale & Dorr LLP
  • Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
  • Steven M. Giordano, Bingham McCutchen LLP
  • Richard A. Goldman, Bingham McCutchen LLP
  • Cornelius K. Hurley, Director, Morin Center for Banking and Financial Law,
    Professor of the Practice of Banking Law, Boston University School of Law
  • Martin E. Lybecker , Wilmer Cutler Pickering Hale and Dorr LLP
  • Karen McMillan, General Counsel, Investment Company Institute
  • Nancy J. Moore, Professor of Law, Boston University School of Law
  • Eric Roiter, Former Senior Vice President & General Counsel, Fidelity Management & Research Company