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Description: With some $7 trillion under management, investment companies have
evolved into a preferred form of investment vehicle and, for some,
a bank account substitute. Given its importance as a form of
investment to the U.S. retail public, the industry has become the
subject of close scrutiny from Congress, Federal and State
regulators, as well as self-regulatory organizations. Corporate
governance initiatives have extended beyond operating companies to
investment companies; directors are being asked to do more. Words,
such as "market timing", "late trading", "revenue sharing" and
"soft-dollars," are used frequently in the popular press. Recent
events have highlighted the regulatory and ethical dilemmas that
practitioners in this area face. This program features a panel of
investment management lawyers will discuss current developments,
with an emphasis on ethical issues, under the Investment Company
Act of 1940.
| Practice Areas: | | Corporate & Securities, Ethics & Professional Responsibility, Securities & SEC Regulation | | Online Media Type: | | Video | | Production Date: | | 05/24/2004 | | Level: | | Intermediate | | Category: | | Standard | | Duration: | | 2 Hours, 45 Minutes | | Online Format: | | On Demand | | Course Type: | | Public |
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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
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| • | Joel H. Goldberg - Shearman & Sterling, New York, NY
| • | Stuart H. Coleman - Program Chair, Stroock & Stroock & Lavan LLP | • | Margaret A. Bancroft - Dechert LLP | • | Andrew J. Donohue - General Counsel and First Vice President, Merrill Lynch Investment Managers, L.P. | • | Brian D. Simon - Senior Vice President, Legal Affairs, Lazard Asset Management |
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