Regulating Funds and Investment Advisors

  • Investment Advisory Registration Depository
  • Investment advisers
  • Prospectuses
  • CFTC
  • Dodd-Frank
  • Hedge funds
  • Mutual funds
  • Fiduciary Duties
  • Sarbanes-Oxley
  • Private equity funds

Learn to:


  1. Evaluate the need for regulatory disclosures to prospective and current investors of pertinent investment information

  2. Analyze the relationship between investment advisers and the funds they advise with particular reference to the role of independent directors of investment company boards

  3. Identify the regulatory requirements in relation to codes of conduct and compliance programs



This course examines mutual funds (investment companies) and other related entities like hedge funds and private equity funds. Topics covered include the Investment Company Act of 1940, the Investment Advisers Act Of 1940, the Dodd-Frank Act, the Sarbanes-Oxley Act, the role of the CFTC in regulating this market, fiduciary duties, the relationship between funds and their broker-dealers, and compliance and ethics programs.


Division of Online Learning

[email protected] | 973-642-8747 or 973-761-9000 ext. 8747