Lawyer Publications

The Investment Company Institute’s annual Mutual Funds and Investment Management Conference heralded springtime and a fresh approach to the regulation of registered funds. During the panel sessions held March 14-16, 2016, staff of the Securities and Exchange Commission (SEC), outside counsel and industry participants discussed a variety of topics, focusing on three recent regulatory developments and several initiatives to come.

  • Key regulatory developments for registered funds include proposed rules governing liquidity risk management, derivatives and reporting.
  • Forthcoming initiatives include distribution matters, stress testing and broadened fiduciary standards.

The overarching theme was whether, and how, those interlinked topics might be addressed holistically. These subjects are discussed in this conference overview PDF