Often cited as a morass of unascertainable depth, and the most
complex of the entire SEC series, Section 17 of the Investment
Company Act of 1940 imposes some very strict regulations on
transactions between investment companies and related entities.
In this session, Satish will provide a comprehensive overview of
affiliated transactions and how to analyze them. Topics discussed
will include:

Affiliated transactions under Section 17(a) and (b)
Identifying affiliated funds and the degree of affiliation
The presumption of control
Defining “transaction”
Exemptive relief
Fiduciary considerations

This session is ideal for compliance and risk management profes-
sionals, audit professionals, operations staff, and attorneys who
deal with fiduciary investments in mutual funds and/or services to
mutual funds.

With consequences for violation ranging from disgorgement of
revenue to regulatory fines and penalties, understanding these
issues is critical to your organization’s prosperity. Please join Satish
for what is sure to be the scariest hour at this year’s conference.