Program Details
On Demand

The Aftermath of the Mutual Fund Scandals: New Ethical Issues From Recent Rulemaking & Legislation

Content Partner:  New York City Bar
Price: $180.00*
Member Price:  $120.00
This program is no longer available.

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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

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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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Total Credits: 2.75
Specialty Credits: Ethics 2.75
Status: Reciprocal Credit Available
Expiration: N/A
Training Type: Online

West LegalEdcenter provides accreditation as described here. You may be able to self apply for credits in states not listed.

Check your state requirements and get contact information.
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
This product is designed to provide information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.

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