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Table of Contents
Table of Contents
Transform your understanding of mutual fund compliance from a regulatory burden to a strategic advantage that protects investors and builds trust.
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Job-aligned skills
With increasing regulatory scrutiny and evolving standards, fund managers face complex compliance requirements that directly impact operations, reputation, and investor confidence. This course equips you with the foundational knowledge and practical frameworks to navigate the regulatory landscape effectively.
Explore the Free Section on Mutual Fund Compliance
What You Will Learn
- 1 Learn the foundations of mutual fund regulation and its historical context.
- 2 Understand the legal framework and roles of governing bodies like SEC and FINRA.
- 3 Explore mutual fund structures, governance requirements, and board responsibilities.
- 4 Apply compliance program design principles including policies, procedures, and training.
- 5 Analyze disclosure and reporting obligations such as prospectuses and shareholder reports.
- 6 Understand portfolio management compliance rules including diversification and liquidity.
- 7 Evaluate marketing and distribution compliance under securities laws.
- 8 Implement anti-money laundering (AML) and Know Your Customer (KYC) programs.
- 9 Adopt codes of ethics and personal trading restrictions for fund personnel.
- 10 Prepare for compliance audits, examinations, and enforcement actions.
What's Included
Core self-paced training
Verifiable certificate
Contemporary insights
100% text-based
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Mutual Fund Compliance