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2013 Mutual Funds and Investment Management Conference

ICI and FBA Examine Current Issues Impacting Investment Companies

The 2013 Mutual Funds and Investment Management Conference, sponsored by the Investment Company Institute (ICI) and the Federal Bar Association (FBA), was held March 17–20, 2013, at the JW Marriott Desert Springs Resort and Spa in Palm Desert, California.

MATERIALS

PROGRAM TOPICS AND HIGHLIGHTS INCLUDED:

  • Keynote address by Norm Champ, Director of the Division of Investment Management, U.S. Securities and Exchange Commission
  • Presentation by Frank Partnoy, Director of the Center for Corporate and Securities Law at the University of San Diego, titled “Ethics and Finance: Some Perspectives from Law, History, and Science”
  • Updates from SEC staff and industry experts about recent and upcoming regulatory efforts affecting funds, and the SEC’s enforcement and compliance programs
  • Panel discussions on swaps regulation, global compliance issues, CPO registration for fund advisers under CFTC Rule 4.5, and more

THANK YOU TO OUR SPONSORS

Current Sponsors