FacultyFaculty/Author Profile
Paul F. Roye

Paul F. Roye

Capital Research and Management Company
Director
Los Angeles, CA, USA


Paul F. Roye is a senior vice president and senior counsel of the Fund Business Management Group of Capital Research and Management Company ("Capital Research"); director of Capital Research; member of the American Funds/Capital Research Executive Committee; chief legal officer of The American Funds; vice chairman and trustee of the Capital Group Private Client Services Funds and Capital Group Emerging Markets Total Opportunities Fund; executive vice president, principal executive officer and trustee of Washington Mutual Investors Fund; executive vice president and principal executive officer of Growth Fund of America, American Mutual Fund, American Funds Fundamental Investors, International Growth and Income Fund, and SMALLCAP World Fund; and senior vice president of 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, where he worked for three SEC Chairman 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. Paul serves on the Investor Issues Committee of the Financial Industry Regulatory Authority, serves on the Board of Directors of the Association of Securities and Exchange Commission Alumni and Friends of the Legal Resource Centre of South Africa. He also serves on the Executive Council of the Federal Bar Association.

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:
Course Handbooks  Course Handbooks Investment Management Institute 2018
CHB Chapters  CHB Chapters SEC Strategic Agenda (Substantive Outline) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
Kara M. Stein, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program—Examination Priorities for 2017 - Investment Management Institute 2018, Thursday, March 22, 2018
Michael S. Piwowar, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
Compliance and Inspections (Substantive Outline) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the Economic Club of New York (July 12, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
Dalia Blass, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Speech, Keynote Address: ICI Securities Law Developments Conference (December 7, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
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) - Investment Management Institute 2018, Thursday, March 22, 2018
Web Segment  Web Segment Investment Management: Compliance and Inspections - Investment Management Institute 2018, Wednesday, May 02, 2018
SEC Strategic Agenda - Investment Management Institute 2018, Wednesday, May 02, 2018
MP3 Audio  MP3 Audio Investment Management: Compliance and Inspections - Investment Management: Compliance and Inspections, Wednesday, May 02, 2018
SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
Transcripts  Transcripts SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
Investment Management: Compliance and Inspections - Investment Management: Compliance and Inspections, Wednesday, May 02, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
Investment Management: Compliance and Inspections - Investment Management: Compliance and Inspections, Wednesday, May 02, 2018
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2018, Monday, May 07, 2018, New York, NY
Live Seminar  Live Seminar Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
Live Webcast  Live Webcast Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Investment Management Institute 2019, Thursday, March 21, 2019, Cleveland, OH
Investment Management Institute 2019, Thursday, March 21, 2019, Pittsburgh, PA
Investment Management Institute 2019, Thursday, March 21, 2019, New Brunswick , NJ
Investment Management Institute 2019, Thursday, March 21, 2019, Cincinnati, OH
Investment Management Institute 2019, Thursday, March 21, 2019, Philadelphia, PA
Investment Management Institute 2019, Thursday, March 21, 2019, Mechanicsburg, PA
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