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:
Web Segment  Web Segment Division Director Perspectives/ SEC Strategic Agenda - Investment Management Institute 2017, Monday, March 27, 2017
Compliance and Inspections - Investment Management Institute 2017, Monday, March 27, 2017
Course Handbooks  Course Handbooks Investment Management Institute 2017
CHB Chapters  CHB Chapters Compliance and Inspections Outline - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Examination Priorities for 2017 - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading (October 13, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Remarks at the National Society of Compliance Professionals 2016 National Conference by Andrew J. Donohue, Chief of Staff, U.S. Securities and Exchange Commission, Washington, D.C. (October 19, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—Examining Whistleblower Rule Compliance (October 24, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Investment Adviser Charged With Cherry-Picking and Misleading Clients (October 4, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Keynote Luncheon Speech: New Directions in Corporate Compliance by Andrew J. Donohue, Chief of Staff, U.S. Securities and Exchange Commission at Rutgers Law School Center for Corporate Law and Governance, Camden, New Jersey (May 20, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme: Separate Asset Mismarking Scheme Yielded $6 Million in Extra Fees (June 15, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—Examinations of Supervision Practices At Registered Investment Advisers (September 12, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Och-Ziff Hedge Fund Settles FCPA Charges—Och-Ziff Executives Also Settle Charges (September 29, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Announces Creation of Office of Risk and Strategy for its National Exam Program—Peter B. Driscoll Named Chief Risk and Strategy Officer (March 8, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC: Private Equity Fund Adviser Acted As Unregistered Broker (June 1, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors (January 19, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—OCIE’s 2016 Share Class Initiative (July 13, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades (July 26, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Investment Advisers Paying Penalties for Advertising False Performance Claims (August 25, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities and Exchange Act of 1934, and 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, and Notice of Hearing, In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank (September 29, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements (January 17, 2017) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Charges Platinum Funds and Founder With Defrauding Investors (December 19, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds (May 31, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Letter, Re: Investment Company Act of 1940—Section 22(d) Capital Group: Response of the Office of Chief Counsel, Division of Investment Management (January 11, 2017) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing—Rules Enhance Investor Protection, Provide More Effective Data Collection by Commission (October 13, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Charges State Street for Pay-to-Play Scheme (January 14, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: JPMorgan Chase Paying $264 Million to Settle FCPA Charges (November 17, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Keynote Address at the National Society of Compliance Professionals 2016 National Conference: “Inside the National Exam Program in 2016” by Marc Wyatt, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Washington, D.C. (October 17, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors (July 14, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past (March 8, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Apollo Charged With Disclosure and Supervisory Failures (August 23, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading (September 21, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions (January 17, 2017) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: PIMCO Settles Charges of Misleading Investors About ETF Performance (December 1, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
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 Federated Global Investment Management Corp. (May 27, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Response of the Office of Chief Counsel to RS Global Natural Resources Fund Request for No-Action Relief, Re: Investment Company Act of 1940—Section 15(a) American Century Investment Management (December 20, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management, Response of the Office of Chief Counsel, Re: Fidelity Management & Research Company et al., Request for No-Action Relief Re: Regulation S-X—Rule 2-01 (June 20, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Capital Group Letter to Mr. David W. Grim, Director, Division of Investment Management and Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Request for interpretive guidance regarding Section 22(d) of the Investment Company Act of 1940 - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Adopts Rules to Enhance Information Reported by Investment Advisers (August 25, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-06: Mutual Fund Fee Structures (December 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) 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 Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Calvert Investment Management, Inc. (October 18, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Testimony Before The U.S. House of Representatives Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises on Continued Oversight of the SEC’s Offices and Divisions by Mark J. Flannery, Director and Chief Economist, Division of Economic and Risk Analysis; Marc Wyatt, Director, Office of Compliance Inspections and Examinations; Thomas J. Butler, Director, Office of Credit Ratings; Sean McKessy, Chief, Office of the Whistleblower, Washington, D.C. (April 21, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Private Fund Administrator Charged With Gatekeeper Failures (June 16, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Agrees to Reimburse Investor Losses (January 28, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Charged in Scheme Involving Terminally Ill (August 15, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Two Firms Charged With Compliance Failures in Wrap Fee Programs (September 8, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule (January 13, 2017) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-01: Mutual Fund Distribution and Sub-Accounting Fees (January 2016) - Investment Management Institute 2017, Monday, March 27, 2017
The Fund Director in 2016: Keynote Address at the Mutual Fund Directors Forum 2016 Policy Conference by U.S. Securities and Exchange Commission Chair Mary Jo White, Washington, D.C. (March 29, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) 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 Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Pacific Investment Management Company LLC (December 1, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: AIG Affiliates Charged With Mutual Fund Shares Conflicts (March 14, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Response to Robert C. Grohowski, General Counsel, Investment Adviser Association, Re: Investment Advisers Act of 1940—Section 206(4) and Rule 206(4)-2 (April 25, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Dechert Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Foreign Currency Agency Transactions under Section 17(e) of the Investment Company Act of 1940 (December 9, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Memorandum from the Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission, Use of Derivatives by Registered Investment Companies and Business Development Companies, Re: Risk Adjustment and Haircut Schedules (November 1, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-02: Fund Disclosure Reflecting Risks Related to Current Market Conditions (March 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Remarks to the ALI CLE 2016 Conference on Life Insurance Products by David W. Grim, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Washington, D.C. (November 4, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners (May 6, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Stradley Ronon Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: American Century Investment Management (December 19, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
Fidelity Investments Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Request for No-Action Relief Re: Regulation S-X Rule 2-01 (June 20, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Response of the Chief Counsel’s Office, Re: Russell Investment Management, LLC No-Action Letter, Re: Investment Company Act of 1940—Section 17(e) (December 16, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies (December 11, 2015) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-03: Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies (March 2016) - Investment Management Institute 2017, Monday, March 27, 2017
“The SEC after the Financial Crisis: Protecting Investors, Preserving Markets,” Speech by U.S. Securities and Exchange Commission Chair Mary Jo White at the Economic Club of New York (January 17, 2017) - Investment Management Institute 2017, Monday, March 27, 2017
Joint Press Release by: Federal Deposit Insurance Corporation, Federal Housing Finance Agency, Federal Reserve Board of Governors, National Credit Union Administration, Office of the Comptroller of the Currency and the U.S. Securities and Exchange Commission: Agencies Invite Comment on Proposed Rule to Prohibit Incentive-Based Pay that Encourages Inappropriate Risk-Taking in Financial Institutions (May 16, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-04: Business Continuity Planning for Registered Investment Companies (June 2016) - Investment Management Institute 2017, Monday, March 27, 2017
SEC Strategic Agenda Outline - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission Press Release: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans—Reflects Commission’s Latest Action to Enhance Regulatory Safeguards in the Asset Management Industry (June 28, 2016) - Investment Management Institute 2017, Monday, March 27, 2017
U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-05: Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations (November 2016) - Investment Management Institute 2017, Monday, March 27, 2017
MP3 Audio  MP3 Audio Division Director Perspectives/ SEC Strategic Agenda - Division Director Perspectives/ SEC Strategic Agenda, Monday, March 27, 2017
Compliance and Inspections - Compliance and Inspections, Monday, March 27, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Inspections - Compliance and Inspections, Monday, March 27, 2017
Division Director Perspectives/ SEC Strategic Agenda - Division Director Perspectives/ SEC Strategic Agenda, Monday, March 27, 2017
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2017, Thursday, March 30, 2017, New York, NY
Live Seminar  Live Seminar Investment Management Institute 2018, Thursday, March 22, 2018, New York, NY
Live Webcast  Live Webcast Investment Management Institute 2018, Thursday, March 22, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Investment Management Institute 2018, Thursday, March 22, 2018, Pittsburgh, PA
Investment Management Institute 2018, Thursday, March 22, 2018, Mechanicsburg, PA
Investment Management Institute 2018, Thursday, March 22, 2018, Cleveland, OH
Investment Management Institute 2018, Thursday, March 22, 2018, Philadelphia, PA
Investment Management Institute 2018, Thursday, March 22, 2018, Atlanta, GA
Investment Management Institute 2018, Thursday, March 22, 2018, New Brunswick , NJ
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