| Investment Management Institute 2012 TOC |
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| Chapter 1: SEC Agenda Outline |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 2: Remarks at SIFMA's 2011 Annual Meeting by Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 3: Speech by SEC Staff: Remarks Before the ALI-ABA Conference on Life Insurance Company Products, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 4: Testimony on Market Micro-Structure: An Examination of ETFs, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 5: Speech by SEC Staff: Remarks Before the Mutual Fund Directors Forum and the University of Maryland "Oversight Derivatives" Conference, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 6: Speech by SEC Staff: Keynote Address at the Insured Retirement Institute 2011 Government, Legal & Regulatory Conference, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 7: The Blurring of Regulatory Lines: Broker-Dealer and Investment Adviser Harmonization Initiatives; Impact of Department of Labor Initiatives on Fund Managers; Dodd-Frank Regulations; Other Regulatory Constraints on Mutual Funds |
Robert G. Zack ~
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| Chapter 8: The Regulation of Derivatives: Under UCITS and the Investment Company Act |
Karrie McMillan ~ General Counsel, Investment Company Institute
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| Chapter 9: Private Fund Managers and the Investment Advisers Act of 1940: The Brave New Regulatory World Has Begun |
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
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| Chapter 10: Regulation of Investment Advisers by the U.S. Securities and Exchange Commission |
Robert E. Plaze ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission
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| Chapter 11: The Securities and Exchange Commission's Whistleblower Program |
Elizabeth R. Krentzman ~ Principal, Governance, Regulatory & Risk Strategies, Deloitte & Touche LLP
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| Chapter 12: Compliance and Inspections Outline |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 13: U.S. Securities and Exchange Commission: Annual Report on the Dodd-Frank Whistleblower Program Fiscal Year 2011 |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 14: Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 15: Speech by SEC Staff: Private Equity International's Private Fund Compliance, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 16: Speech by SEC Staff: Remarks at the IA Watch Annual IA Compliance Best Practices Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 17: Speech by SEC Staff: Keynote Address at the SIFMA Anti-Money Laundering Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 18: Speech by SEC Staff: Remarks at the CCOutreach National Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 19: Developments in Employee Benefit Plan Law Outline |
Melanie Franco Nussdorf ~ Steptoe & Johnson LLP
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| Chapter 20: Developments in Litigation Involving Mutual Funds and Investment Advisers |
Neil C Gray ~ Clifford Chance US LLP
James N. Benedict ~ Milbank, Tweed, Hadley & McCloy LLP
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| Chapter 21: The Investment Management Institute: Enforcement Trends and Themes |
Carol Robinson Schepp ~ Wilmer Cutler Pickering Hale and Dorr LLP
Lori A. Martin ~ WilmerHale LLP
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| Chapter 22: The Asset Management Business and the Looming Specter of Increased Enforcement Scrutiny |
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
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| Chapter 23: Ethics and Professional Responsibility Issues |
Michael S. Sackheim ~ Sidley Austin LLP
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| Chapter 24: Index to Investment Management Institute 2012 |
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