March 3, 2009|
1:00 pm EST
Nick Prokos, Managing Director
ACA Compliance Group
Tom Poppey, Senior Vice President
Brown Borthers Harriman & Co.
- How does securities lending work
- What’s the role of the Lending Agent and Custodian
- What’s the role of the Adviser and the Mutual Fund Board
- What are the compliance considerations for loaning securities from portfolios/Mutual Funds
- What are the compliance considerations for cash collateral received for securities on loan
- Should Portfolio Managers be involved in the determination of loaning securities
- What disclosures should be provided to investors or Mutual Fund shareholders?