| Investment Management Institute 2013 TOC |
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| Chapter 1: SEC Agenda Panel |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 2: Regulation of Investment Advisers by the 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: Financial Stability Oversight Council--Proposed Recommendations Regarding Money Market Mutual Fund Reform |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 4: U.S. Securities and Exchange Commission: Investment Management Staff Issues of Interest |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 5: Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services by Norm Champ, 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: Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products by Norm Champ, 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: Keynote Address at the National Society of Compliance Professionals National Meeting by Commissioner Daniel M. Gallagher, 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 8: Remarks to the IRI 2012 Government, Legal & Regulatory Conference by Susan Nash, Associate 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 9: Overview of ERISA |
Melanie Franco Nussdorf ~ Steptoe & Johnson LLP
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| Chapter 10: CFTC Regulation: Use of Derivatives in Investment Management |
Susan C. Ervin ~ Davis Polk & Wardwell LLP
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| Chapter 11: Alert--SEC Updates Form PF Frequently Asked Questions |
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
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| Chapter 12: Client Memorandum--Final Rules for the Private Fund Investment Advisers Registration Act of 2010 |
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
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| Chapter 13: Alert--Private Fund Systemic Risk Reporting |
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
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| Chapter 14: Alert--Private Fund Systemic Risk Reporting |
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
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| Chapter 15: Alert--Financial Regulatory Reform: Key Issues for Private Fund Managers |
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
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| Chapter 16: Examinations by the Securities and Exchange Commission's Office of Compliance Inspections and Examinations |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 17: Letter from the SEC Office of Compliance Inspections and Examinations Regarding the National Exam Program (NEP) |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 18: SEC Office of Compliance Inspections and Examinations Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices Under Section 15(g) of the Securities Exchange Act of 1934 |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 19: National Examination Risk Alert by the Office of Compliance Inspections and Examinations--Volume II, Issue 2--Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 20: National Examination Risk Alert by the Office of Compliance Inspections and Examinations--Volume II, Issue 1--Investment Adviser Use of Social Media |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 21: Press Release--SEC Sanctions Two Investment Advisers for Impeding Examinations |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 22: Conflicts of Interest and Risk Governance--Remarks by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, at the National Society of Compliance Professionals |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 23: SEC Anti-Money Laundering (AML) Source Tool for Mutual Funds |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 24: Risk Assessment at the U.S. Securities & Exchange Commission--Remarks by Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy and Financial Innovation, U.S. Securities & Exchange Commission, at the Risk Minds USA Conference |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 25: Speech by SEC Staff: What SEC Registration Means for Hedge Fund Advisers, by Norm Champ, Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, at the New York City Bar |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 26: Speech by SEC Staff: Address at the Private Equity International Private Fund Compliance Forum, 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 27: Remarks at "The SEC Speaks in 2012" by Commissioner Daniel M. Gallagher, U.S. Securities & Exchange Commission |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 28: Speech by SEC Staff: Remarks at the Compliance Outreach Program, 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 29: Press Release: SEC Penalizes Investment Advisers for Compliance Failures |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 30: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order in the Matter of EM... |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 31: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 32: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 33: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 34: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order in the Matter of. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 35: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 36: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 37: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company... |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 38: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act. . . |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 39: FS Regulatory Brief--What Mutual Fund CCOs and GCs Are Talking About Now |
Lori Richards ~ Principal, Regulatory Services, PricewaterhouseCoopers LLP
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| Chapter 40: SEC and State Disclosure Developments Impacting Variable Insurance Products and Underlying Mutual Fund Shares |
Gary O. Cohen ~ Jorden Burt LLP
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| Chapter 41: SEC and State Regulation of Indexed Annuities After the Dodd-Frank Act |
Gary O. Cohen ~ Jorden Burt LLP
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| Chapter 42: New Volatility Controlled/Hedged Insurance Product Funds |
Stephen E. Roth ~ Sutherland Asbill & Brennan LLP
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| Chapter 43: Developments in Litigation Involving Mutual Funds and Investment Advisers |
Sean M. Murphy ~ Milbank Tweed Hadley & McCloy LLP
James N. Benedict ~ Milbank, Tweed, Hadley & McCloy LLP
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| Chapter 44: Enforcement Trends and Themes |
Carol Robinson Schepp ~ Wilmer Cutler Pickering Hale and Dorr LLP
Lori A. Martin ~ WilmerHale LLP
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| Chapter 45: 2012 SEC Investment Management Enforcement Actions: A Summary Chart |
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
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| Chapter 46: Professional Responsibility Issues Under Title VII of the Dodd-Frank Act |
Michael S. Sackheim ~ Sidley Austin LLP
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| Chapter 47: Current Environment: OCIE (PowerPoint Slides) |
Paul F. Roye ~ Senior Vice President, Fund Business Management Group, Capital Research and Management Company
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| Chapter 48: Index to Investment Management Institute 2013 |
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