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Securities Lending
Securities Lending
 
March 3, 2009
1:00 pm EST

Nick Prokos, Managing Director
ACA Compliance Group

Tom Poppey, Senior Vice President
Brown Borthers Harriman & Co.




Description:
  • 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?