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Understanding the SEC's Changing Role in Mutual Fund Regulation

11 November 2011

Program Overview
The new Asset Management Unit of the SEC's Division of Enforcement is focusing on mutual fund regulatory and governance issues. Mutual fund trustees, executives, and counsel want to know what this development means to them and how they should prepare. To that end, K&L Gates and Institutional Investor Intelligence's Fund Director Intelligence arranged a program that included panelists from the Securities and Exchange Commission's Division of Enforcement's Asset Management Unit, and Division of Investment Management as well as partners from K&L Gates who work closely with fund boards. Among the questions that were addressed:

  • How does the Asset Management Unit interact with the Division of Investment Management?
  • Do the two share execution of current and future regulatory goals?
  • How do they prioritize goals?
  • What tools and personnel does the Asset Management Unit have?
  • What is the impact of budgetary constraints?

Program Materials