Mutual Fund Modernization and Liquidity Risk Management

Wednesday, January 24, 2018


2:00 pm - 3:00 pm ET






Bruce Treff
Managing Director, Deloitte & Touche LLP
Karl Ehrsam
Principal, Deloitte & Touche LLP
Lisa Shea
Senior Vice President, Northern Trust Corporation
 Robert Zakem
Managing Director, Deloitte & Touche LLP


Mutual Fund Modernization and Liquidity Risk Management from NICSA


Mutual fund sponsors and their service providers are reevaluating their operating models to support compliance with the SEC’s Mutual Fund Modernization reporting requirements and Liquidity Rule. This discussion explores the challenges that fund sponsors and administrators are facing, as well as insights on how they are responding to each of these emerging regulatory requirements.

Learning Objectives:

  • Obtain perspective on recent developments that could potentially impact each regulatory requirement
  • Discuss how fund sponsors and administrators are preparing
  • Broadly identify challenges in preparing for the new Modernization Forms and Rule 22e-4 and how the industry is solving for these challenges
  • Learn about emerging practices to comply and gain perspective on industry readiness

CPE Information

NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry..

NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

For this webinar:
CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based


For more information, please contact Jordan DeBettencourt at 508.683.1618.

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