Financial Services: Mutual Funds and Asset Management

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 Number: 
Course Credits: 
Course Types: 
Course Areas of Practice: 
Course Frequency*: 
Course Learning Outcomes: 
(a) Knowledge and understanding of substantive and procedural law


*Please note that this information is for planning purposes only, and should not be relied upon for the schedule for a given semester. Faculty leaves and sabbaticals, as well as other curriculum considerations, will sometimes affect when a course may be offered.