COURSE DESCRIPTION 2012 2013

component. Barings Asset Management ("Barings") is a investment management adviser that manages over $46 billion on behalf of clients located worldwide. The company offers a wide range of equity and fixed income products in both domestic and international markets through mutual funds, commingled funds and separate account vehicles. The intern will be placed in Barings‘ North American legal department and will assist with product creation, contract drafting, and implementation of controls and procedures to ensure compliance with regulatory and statutory requirements, including the Investment Advisors Act of 1940. The intern will also assist with Barings‘ compliance with the Investment Company Act of 1940 in its role as an advisor to registered investment companies and provide legal support to Barings‘ offshore and onshore unregistered vehicles. Established in 1818, Brown Brothers Harriman & Co. ("BBH") is the only major private commercial bank operating in the U.S. today. With offices located globally, BBH provides banking, custodial, investment advisory and trustee services to a variety of institutional clients. Through its Investor Services group, BBH provides custody, accounting and administration services to various investment vehicles including mutual funds, private funds and separate accounts. The selected intern will work with the Legal Administration group providing corporate secretarial and regulatory services to mutual fund clients. With over $850 billion in assets under management, Natixis Global Asset Management (―Natixis‖) is one of the fifteen leading asset management companies in the world. Natixis‘ Boston based Legal/Compliance Department possesses extensive expertise in all aspects of corporate governance, disclosure and other regulatory matters affecting mutual funds, separately managed accounts and their service providers including investment advisers, sub-advisers, distributors and transfer agents. Working within the Natixis Legal/Compliance Department, the intern will be exposed to and work on projects concerning one or more of the following areas: investment product structure and disclosure; the roles and legal obligations of the various service providers; corporate governance; compliance with regulatory requirements and established policies and procedures; and due diligence. Co-taught by Professor Franco and Mr. Hartmann; Grading will be based on a final exam, written assignments and in-class exercises. Securities Regulation is recommended.

Elective Course

Meets Skills Menu Requirement

Meets Financial Services Concentration Requirements

Final Exam Required

Jurisprudence Seminar