Categories: Business, Corporate, Commercial Law Administrative and Regulatory Law

Instructor(s)

Martin, Cary

Course Data

Room 3260
R 8:50am-10:50am

Pass/Fail: Yes

Course Description

The investment company industry controls a large portion of the global financial markets. This massive industry is comprised of several types of pooled investment vehicles, some of which include mutual funds, hedge funds, and private equity funds. As such, this timely and innovative seminar will explore the numerous debates and controversies associated with this industry, particularly in light of the recent economic crisis. We will begin this seminar by examining the interplay among the multiple pieces of legislation that regulates these structures, such as the Investment Company Act, Investment Advisers Act, and the recently passed Dodd-Frank Act. We will continue by investigating the political and economic issues that arise with respect to both registered and exempt investment companies. As part of this analysis, we will scrutinize the existing scholarly debates that confront various aspects of these issues. This seminar will conclude with a practical component that introduces students to the basic duties of investment company lawyers in organizing and advising investment companies and their advisers. Students’ grades will depend upon class participation and a significant writing project or projects to be determined.
Prerequisite: Business Organizations. Securities Regulation will be helpful.

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