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LAWS 7751 Mutual Fund Regulation (Fall: 2 )

Course Description

The course will cover the regulation of mutual funds and other investment companies under the Investment Company Act of 1940. Emphasis will be placed on practical issues encountered by lawyers representing mutual funds, their investment managers, fund boards, and investors. Topics will include what constitutes a mutual fund, different types of investment companies, fiduciary duties owed to funds and their investors, issues arising from the sale and marketing of mutual funds, and the governance role of boards of directors of mutual funds. We will explore the similarities and differences between mutual funds and conventional corporations


Prerequisites: Corporations.

Cross listed with:


Last Updated: 24-Jun-17