The financial services industry is now widely viewed as including a number of discrete categories, such as asset management, consumer finance, investment banking, hedge funds/private equity/merchant banking/venture capital, and insurance underwriting and agency. This seminar will concentrate on the asset management industry segment of financial services. Specifically, the first two-thirds of the seminar will be devoted to reviewing and discussing the robust regulatory scheme for mutual funds and investment advisers; the remaining time will be used to address the investment management aspects of the federal bank regulatory system, and to review the treatment of common problems for financial institutions that manage assets under multiple regulatory formats.
|Course Areas of Practice|
Knowledge and understanding of substantive and procedural law