U.S. and E.U. Investment Management Regulation and Compliance | L47xx

In 2015, worldwide assets in regulated mutual funds exceeded $40 trillion. Larger amounts were managed in unregulated funds, pension funds and separately managed accounts. In Colorado there are over 9,000 investment services companies with over 30,000 employees. Since the 2008 financial crisis, managers and their funds have faced increased regulatory scrutiny and compliance burdens. This class will introduce students to (i) how and why investment funds (both registered and unregistered) are regulated in the U.S. and the European Union, (ii) the different approaches to regulation taken in the U.S. and the EU, and (iii) different compliance challenges posed by regulations and how attorneys meet these challenges?.

Prerequisites: N/A
Credit Hours: 2
ULW: This course does not satisfy the Upper Level Writing requirement (ULW)

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