The focus of this course will be on the Investment Company Act of 1940 (the '40 Act) and the roles and responsibilities of the Chief Compliance Officer and the Compliance Department with regards to U.S. Registered Mutual Funds. This is a "how to" course and is structured to add value to each student's career and to the firms they work for. Students will learn key portions of the '40 Act as well as the "process of compliance". By the end of the course students will know: how to create and manage an effective mutual fund compliance program; write rule inventories and risk assessments; develop policies and procedures and surveillance activities; understand critical disclosure documents; navigate a routine SEC examination; and be familiar with recordkeeping requirements. Students will also learn how the CCO and the Compliance Department work closely with the Mutual Fund Board and the fund's Service Providers.

Note that this information may change at any time. Please visit the MyBU Student Portal for the most up-to-date course information.