Course 1 - Overview of the Mutual Fund Industry
Course 2 - Mutual Fund Operations
Course 3 - Mutual Fund Distribution & Marketing
Course 1 lays the foundation of how mutual funds began and have evolved since the early 1900s. The four-module course covers the laws that were created to protect the investor, the organizations that make up the mutual fund industry and the regulatory bodies that monitor the industry today. It also discusses the issues and challenges that face the mutual fund industry as we move forward in the 21st century.
Modules included in this course are:
This module will provide you with the "big picture" of what mutual funds are, the various types available, some of the regulations surrounding them, and the type of investors that they benefit.
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The history of mutual funds resides largely within the twentieth century and runs though several distinct periods. This module examines each of these distinct periods, particularly focusing on events and legislation that have shaped the mutual fund industry.
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The Structure of the Mutual Fund Industry module will examine various types of service providers that serve as a significant portion of the mutual fund industry's structure. The module explores the funds themselves and briefly identifies the functions of service providers within the industry, how they relate to the fund and, when available, their participation in the industry in terms of revenue
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The Issues Facing the Mutual Fund Industry module will examine a handful of key issues and challenges that the mutual fund industry faces as it moves into the twenty-first century.
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Course 2 focuses on the daily operations of a mutual fund from investment management to calculating the NAV. The five-module course reveals the vast number of tasks and people it takes to make a mutual fund run smoothly, while at the same time appearing to be seamless to the investor.
Modules included in this course are:
The Investment Management Back Office module will describe to you the different functions that occur in the investment management back office.
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The Investment Management Front Office module will describe the functions and responsibilities of the investment management front office and what it does for a mutual fund.
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The Mutual Fund Support Functions module will discuss investment management functions that are specific to mutual funds. These functions include fund accounting, auditing, legal support, and other compliance and reporting functions often termed "fund administration."
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This module will familiarize you with the various tasks and technologies associated with the shareholder record keeping function of transfer agents.
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This module will introduce the parts and functions of the customer service component of the transfer agent. It will also discuss some third-party companies who support transfer agents as niche service providers.
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Course 3 explores mutual fund distribution and how it has evolved since the adoption of 12b-1 in 1980. The four-module course also focuses on regulations guiding marketing and advertising and delves into what expansion opportunity open-end mutual funds outside the U.S. may present to mutual fund managers.
Modules included in this course are:
The Fund Distribution: the Broker Channels module will introduce the concept of mutual fund distribution and focus specifically on topics related to the distribution of mutual funds through broker channels.
The following topics will be covered in this module:
The Fund Distribution: The Direct, Bank, and Institutional Channels module will introduce the ways that mutual funds are sold directly to the investor, sold through banks and sold through other intermediary channels.
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The Understanding Mutual Fund Marketing and Distribution Issues module will focus on mutual fund advertising and the role that retirement investing has played in the expansion of mutual fund marketing budgets.
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The Open-End Funds outside the U.S. module, will discuss the future of distributing mutual funds globally and the opportunities and challenges that await U.S. fund companies.
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| Tuition | $749.00 |
|---|---|
| Program Duration | 90 days |
| Application Deadline | Open enrollment, same day access |
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