FacultyFaculty/Author Profile
Paul F. Roye

Paul F. Roye

Capital Research and Management Company
Senior Vice President, Fund Business Management Group
Los Angeles, CA, USA


Paul F. Roye is a senior vice president of the Fund Business Management Group of Capital Research and Management Company ("Capital Research"); chairman of the board of the Capital Private Client Services Funds and Capital Emerging Markets Total Opportunities Fund; director of American Funds Service Company; president and principal executive officer of American Mutual Fund; executive vice president and principal executive officer of Growth Fund of America, Fundamental Investors, International Growth and Income Fund, The New Economy Fund and SMALLCAP World Fund; and senior vice president of AMCAP Fund, American Balanced Fund, The Income Fund of America and Investment Company of America.

Prior to joining Capital Research in 2005, he was Director of the Division of lnvestment Management for the U.S. Securities and Exchange Commission and was among the most senior financial services regulators in the United States, with principal oversight for the investment management industry and public utility holding companies. During his tenure, he received the Chairman's Award of Excellence, the highest honor that can be bestowed upon an SEC staff member. Prior to becoming director, he was a member of the Washington office of the law firm of Dechert, where he was a partner in the firm's Financial Services, lnvestment Management and Corporate Securities Practice Group, specializing in the area of institutional investor law. His practice involved providing advice and assistance to a wide variety of domestic and foreign investment companies, as well as investment advisers, broker-dealers, banks and insurance companies.

Paul holds a J.D. from the University of Michigan Law School at Ann Arbor, where he was Note and Comment Editor of the University of Michigan Journal of Law Reform. He also holds an A.B., cum laude, from Dartmouth College in Hanover, New Hampshire. He serves on the Board of Directors of Friends, the Foundation of the California African American Museum, the Southern Africa Legal Services Foundation, and the Association of Securities and Exchange Commission Alumni.

Paul is admitted to practice law in the District of Columbia and is a member of the District of Columbia Bar Association.

Paul F. Roye is associated with the following items:
Transcripts  Transcripts Current Division of Investment Management Agenda - Current Division of Investment Management Agenda , Monday, April 12, 2010
Worldwide Financial Services Reform - Worldwide Financial Services Reform , Monday, April 12, 2010
Course Handbooks  Course Handbooks Investment Management Institute 2013
CHB Chapters  CHB Chapters Remarks at "The SEC Speaks in 2012" by Commissioner Daniel M. Gallagher, U.S. Securities & Exchange Commission - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Press Release: SEC Penalizes Investment Advisers for Compliance Failures - Investment Management Institute 2013 , Thursday, March 07, 2013
Current Environment: OCIE (PowerPoint Slides) - Investment Management Institute 2013 , Thursday, March 07, 2013
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... - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
Remarks to the IRI 2012 Government, Legal & Regulatory Conference by Susan Nash, Associate Director, Division of Investment Management, U. S. Securities and Exchange Commission - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
National Examination Risk Alert by the Office of Compliance Inspections and Examinations--Volume II, Issue 1--Investment Adviser Use of Social Media - Investment Management Institute 2013 , Thursday, March 07, 2013
U.S. Securities and Exchange Commission: Investment Management Staff Issues of Interest - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
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... - Investment Management Institute 2013 , Thursday, March 07, 2013
SEC Anti-Money Laundering (AML) Source Tool for Mutual Funds - Investment Management Institute 2013 , Thursday, March 07, 2013
Press Release--SEC Sanctions Two Investment Advisers for Impeding Examinations - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Letter from the SEC Office of Compliance Inspections and Examinations Regarding the National Exam Program (NEP) - Investment Management Institute 2013 , Thursday, March 07, 2013
SEC Agenda Panel - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Keynote Address at the National Society of Compliance Professionals National Meeting by Commissioner Daniel M. Gallagher, U.S. Securities and Exchange Commission - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Financial Stability Oversight Council--Proposed Recommendations Regarding Money Market Mutual Fund Reform - Investment Management Institute 2013 , Thursday, March 07, 2013
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. . . - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Examinations by the Securities and Exchange Commission's Office of Compliance Inspections and Examinations - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
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 - Investment Management Institute 2013 , Thursday, March 07, 2013
Regulation of Investment Advisers by the U.S. Securities and Exchange Commission - Investment Management Institute 2013 , Thursday, March 07, 2013
Web Segment  Web Segment Current Division of Investment Managment Agenda - Investment Management Institute 2013 , Friday, March 15, 2013
Other Regulatory Regimes Affecting the Investment Management Industry - Investment Management Institute 2013 , Friday, March 15, 2013
Compliance and Inspections - Investment Management Institute 2013 , Friday, March 15, 2013
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2013 , Friday, March 22, 2013 , New York, NY
Live Seminar  Live Seminar Investment Management Institute 2014 , Thursday, March 06, 2014 , New York, NY
Investment Management Institute 2013 , Thursday, March 07, 2013 , New York, NY
Live Webcast  Live Webcast Investment Management Institute 2014 , Thursday, March 06, 2014 , New York, NY
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