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Fund Governance for Asset Managers (Asset Management Law Practice Regulation and Compliance Book 1)

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The Regulatory Compliance Association reviews and presents Continuing Compliance Education (CCE) for a community of over 78,000 regulators, alternative investment, asset management and financial institutions.

The course in fund governance, presented by former SEC Commissioner Roel Campos and his law partner Michael Renetzky, explores the governance of investment funds both in the context of investment companies registered under the Investment Company Act of 1940 and funds not required to be registered under the 1940 Act. The course professors approach the topic through a general framework that considers three primary goals of fund governance: (1) promoting the best interests of investors, (2) increasing assets under management, and (3) limiting potential liability. This course involves a practical look at governance, where self-interest has a role in promoting the interests of investors. Within this framework the topics are discussed by exploring the governance aspects of three significant cases relating to fund governance: In Re Charles Schwab Corporation Securities Litigation (2010), the U.S. Supreme Court case of Jones v. Harris Associates L.P. (2010) and the Cayman Islands case of Weavering Macro Fixed Income Fund Limited (2011). These cases each present important lessons for advisers and directors to funds. The course concludes by asking students to reflect on the significant changes in the approach to governance of funds registered under the 1940 Act and to explore the future possibilities for governance of funds not registered under that Act.

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