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ICI Webinar Series on Mutual Fund Filing and Disclosure Requirements

June 8: Form N-1A Procedural Requirements
June 29: Form N-1A Content Requirements
July 14: Proxy Materials
August 23: Shareholder Reports

Mutual funds are required to file a number of disclosure documents with the Securities and Exchange Commission. Navigating these regulatory requirements can be challenging. To assist in educating new staff and to provide a comprehensive refresher for those who are more experienced, the Investment Company Institute has hosted four webinars designed for legal, accounting, and compliance professionals at mutual funds and outside firms. 

RECORDINGS

SPEAKERS

Form N-1A Procedural Requirements:

  • Dorothy Donohue (moderator), Senior Associate Counsel—Securities Regulation, Investment Company Institute
  • Rajib Chanda, Partner, Ropes & Gray
  • Brian Poole, Legal Counsel, T. Rowe Price Associates, Inc.
  • Keith O’Connell, Branch Chief, Division of Investment Management, U.S. Securities and Exchange Commission

Form N-1A Content Requirements:

  • Mara Shreck (moderator), Associate Counsel, Investment Company Institute
  • Margaret Carey, Associate General Counsel, Fidelity Investments
  • Rajib Chanda, Partner, Ropes & Gray LLP
  • Christian Sandoe, Branch Chief, Division of Investment Management, U.S. Securities and Exchange Commission

Proxy Materials:

  • Dorothy Donohue (moderator), Senior Associate Counsel—Securities Regulation, Investment Company Institute
  • Michael Drayo, Associate Counsel, The Vanguard Group, Inc.
  • Kristin Ives, Partner, Stradley Ronon Stevens & Young, LLP
  • Richard Pfordte, Branch Chief, Division of Investment Management, U.S. Securities and Exchange Commission

Shareholder Reports:

  • Gregory Smith (moderator), Director, Fund Accounting, Investment Company Institute
  • Jaime Eichen, Chief Accountant, Division of Investment Management, U.S. Securities and Exchange Commission
  • Betsy Johnson, Partner, PwC
  • Jeff Regal, Fund Treasurer, American Funds