Course Handbook  Course Handbook

Investment Management Institute 2018

Publication Date: March 2018 Number of Volumes: 2
ISBN Number: 9781402430985 Page Count: 1376 pages

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Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1: Dalia Blass, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Speech, Keynote Address: ICI Securities Law Developments Conference (December 7, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 2: Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Speech, The Role of Big Data, Machine Learning, and AI in Assessing Risks: A Regulatory Perspective (June 21, 2017) Barry P Barbash ~ Willkie Farr & Gallagher LLP
Paul F Roye ~ Director, Capital Research and Management Company
Chapter 3: Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Speech, Market Fragility and Interconnectedness in the Asset Management Industry (June 20, 2017) Barry P Barbash ~ Willkie Farr & Gallagher LLP
Paul F Roye ~ Director, Capital Research and Management Company
Chapter 4: SEC Strategic Agenda (Substantive Outline) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 5: Kara M. Stein, Commissioner, U.S. Securities and Exchange Commission, Speech, Address at Investment Company Institute’s 2017 Securities Law Developments Conference (December 7, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 6: Kara M. Stein, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 7: Michael S. Piwowar, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 8: Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the Economic Club of New York (July 12, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 9: Securities Industry and Financial Markets Association, Asset Management Group Letter to Ms. Heather Seidel, Acting Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Re: Section 28(e) of the Securities Exchange Act of 1934 and MiFID II (October 25, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 10: U.S. Securities and Exchange Commission, Division of Trading and Markets Letter to Mr. Timothy W. Cameron and Ms. Lindsey Weber Keljo, Asset Management Group, Securities Industry and Financial Markets Association, Re: Section 28(e) of the Securities Exchange Act of 1934 and MiFID II (October 26, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 11: Katten Muchin Rosenman LLP Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, Chief Counsel’s Office, U.S. Securities and Exchange Commission, Re: Mutual of America Capital Management LLC (August 14, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 12: U.S. Securities and Exchange Commission, Division of Investment Management Response of the Office of Chief Counsel, Re: No Action Letter: Mutual of America Capital Management LLC (October 26, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 13: Morgan, Lewis & Bockius LLP Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, United States Securities and Exchange Commission, Re: Relief from the Investment Advisers Act of 1940 for Broker-Dealers Receiving Payments for Research from Investment Managers Subject to MiFID II (October 17, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 14: U.S. Securities and Exchange Commission, Division of Investment Management Response of the Chief Counsel’s Office, Re: Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 (October 26, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 15: U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-01: Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority (February 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 16: U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 17: U.S. Securities and Exchange Commission, Division of Investment Management Information Update—IM-INFO-2017-03: Information Update for Advisers Relying on the Unibanco No-Action Letters (March 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 18: U.S. Securities and Exchange Commission, Adopting Release, Investment Company Reporting Modernization—Release Nos. 33-10442; 34-82241; IC-32936; File No. S7-08-15 (December 8, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 19: U.S. Securities and Exchange Commission, Proposed Rule Release, Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act—Release No. IA-4697; File No. S7-05-17 (May 3, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 20: Groom Law Group, Benefits Brief, Fifth Circuit Oral Arguments—A New Hope for Fiduciary Rule Opponents? (August 10, 2017) Michael P Kreps ~ Groom Law Group
Chapter 21: Groom Law Group, Benefits Brief, DOL Finalizes Transition Period Extension to July 1, 2019 (November 27, 2017) Michael P Kreps ~ Groom Law Group
Chapter 22: Groom Law Group, Benefits Brief, Department of Labor May Be Saying Au Revoir to BIC Exemption’s Restrictions on Arbitration (July 24, 2017) Michael P Kreps ~ Groom Law Group
Chapter 23: Groom Law Group, Benefits Brief, New Conflict of Interest FAQs Address 408b-2 Disclosure Transition Period and Recommendations to Increase Contributions and Plan Participation (August 10, 2017) Michael P Kreps ~ Groom Law Group
Chapter 24: Testimony Before the United States Senate Committee on Banking, Housing and Urban Affairs on Oversight of the U.S. Securities and Exchange Commission, by Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Washington, D.C. (September 26, 2017) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 25: U.S. Securities and Exchange Commission, Adoption of Temporary Rule, Certain Broker-Dealers Deemed Not To Be Investment Advisers—Release Nos. 34-50979; IA-2339; File No. S7-25-99 (January 7, 2005) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 26: U.S. Securities and Exchange Commission, Request for Data and Other Information, Duties of Brokers, Dealers, and Investment Advisers—Release No. 34-69013; IA-3558; File No. 4-606 Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 27: U.S. Securities and Exchange Commission, Public Law 111–203, Dodd-Frank Wall Street Reform and Consumer Protection Act, Sec. 913, Study and Rulemaking Regarding Obligations of Brokers, Dealers and Investment Advisers (July 21, 2010) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 28: U.S. Securities and Exchange Commission, Study on Investment Advisers and Broker-Dealers (January 2011) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 29: RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law and Governance, Investor and Industry Perspectives on Investment Advisers and Broker-Dealers (2008) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 30: Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Public Statement, Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017) Peter E Haller ~ Willkie Farr & Gallagher LLP
Chapter 31: Jennifer L. Klass, Eric L. Perelman and Ezra D. Church, Regulation of Robo-Advisers (October 2017) Jennifer L Klass ~ Morgan,Lewis & Bockius LLP
Chapter 32: Jennifer L. Klass and Eric Perelman, The Evolution of Advice: Digital Investment Advisers as Fiduciaries Jennifer L Klass ~ Morgan,Lewis & Bockius LLP
Chapter 33: Lisa J. Sotto and Aaron P. Simpson, A How-To Guide to Information Security Breaches, BNA, Inc. Privacy & Security Law Report (April 2, 2007) Lisa J Sotto ~ Hunton & Williams LLP
Chapter 34: Hunton & Williams LLP, Privacy & Information Security Law Blog: Global Privacy and Cybersecurity Law Updates and Analysis Lisa J Sotto ~ Hunton & Williams LLP
Chapter 35: Hunton & Williams LLP, Client Alert, Privacy and Data Security Due Diligence in M&A Transactions (May 2017) Lisa J Sotto ~ Hunton & Williams LLP
Chapter 36: Compliance and Inspections (Substantive Outline) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 37: Peter B. Driscoll, Acting Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Speech, GIPS Standards Annual Conference: Improving Investment Adviser Compliance (September 14, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 38: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program—Examination Priorities for 2017 Paul F Roye ~ Director, Capital Research and Management Company
Chapter 39: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VII, Issue 1—Observations from Municipal Advisor Examinations (November 7, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 40: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 6—The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers (September 14, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 41: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 5—Observations from Cybersecurity Examinations (August 7, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 42: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 4—Cybersecurity: Ransomware Alert (May 17, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 43: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 3—The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (February 7, 2017) Paul F Roye ~ Director, Capital Research and Management Company
Chapter 44: Stephanie R. Breslow and Patrick Dundas, Recent Trends in Alternative Funds Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 45: Stephanie R. Breslow and Phyllis Schwartz, Investment Advisers Act of 1940 (November 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 46: The Growing Interest in Cryptocurrencies: Q&A with SRZ’s Blockchain Technology & Digital Assets Group, The Hedge Fund Journal (November–December 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 47: Schulte Roth & Zabel, Reminder, New Partnership Audit Tax Rules: Possible Changes to Fund Organizational and Disclosure Documents (November 22, 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 48: Julian Rainero, Brian T. Daly, Marc E. Elovitz and Anna Maleva-Otto, Cross-Border Implementation of MiFID II Research Provisions, The Hedge Fund Journal (October 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 49: Schulte Roth & Zabel, Alert, Bitcoin Derivatives and Expanded CFTC Jurisdiction (November 14, 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 50: Schulte Roth & Zabel, Alert, CFTC Provides Position Aggregation Relief for Private Fund Managers and Others (August 11, 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 51: Schulte Roth & Zabel, Alert, New DOL Rule: Subscription Document Supplement (June 9, 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 52: Schulte Roth & Zabel, Alert, New DOL ERISA Fiduciary Regulation Takes Effect (at Least for Now) (June 2, 2017) Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Chapter 53: Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart Barry P Barbash ~ Willkie Farr & Gallagher LLP
Chapter 54: Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the PLI 49th Annual Institute on Securities Regulation: Governance and Transparency at the Commission and in Our Markets (November 8, 2017) Barry P Barbash ~ Willkie Farr & Gallagher LLP
Chapter 55: Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity (October 26, 2017) Barry P Barbash ~ Willkie Farr & Gallagher LLP
Chapter 56: U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report: A Look Back at Fiscal Year 2017 Barry P Barbash ~ Willkie Farr & Gallagher LLP
Chapter 57: Sean M. Murphy, Robert C. Hora and Benjamin J. Reed, Developments in Litigation Under Section 36(b) of the 1940 Act (January 5, 2018) Sean M Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Chapter 58: Allison M. Fumai, Adam T. Teufel, Stuart M. Strauss and Keunjung Cho, The Ongoing Evolution of Exchange-Traded Funds: An Overview of the Development of ETFs, Their Regulation, and the Underlying Market (January 5, 2018) Allison M Fumai ~ Dechert LLP
Chapter 59: Key Professional Responsibility Issues Michael S Sackheim ~ Sidley Austin LLP
Index

This Course Handbook was compiled for the program, Investment Management Institute 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Barry P Barbash, Willkie Farr & Gallagher LLP
Paul F Roye, Capital Research and Management Company
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