transcript   Transcript

SEC Strategic Agenda

Recorded on: May. 2, 2018
Running Time: 01:49:36

Full Transcript:



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Taken from the Web Program Investment Management Institute 2018 Recorded April, 2018 in New York [01:49:36]
  • Liquidity management
  • Exchange-traded fund rule
  • Business continuity and transition planning
  • Investment Company reporting modernization
  • Amendments to Form ADV and Advisers Act rules
  • Stress-testing initiative
  • Exam priorities
  • MiFID II
  • Disclosure reassessment
  • Money-market fund regulation
  • Target date fund rules
  • Funds’ use of derivatives
  • Rethinking the role of fund directors
  • Effect of Treasury Department Report on the asset management industry

Barry P. Barbash, David W. Grim, Paul F. Roye

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • SEC Strategic Agenda (Substantive Outline)
    Paul F. Roye
  • 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
  • Kara M. Stein, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017)
    Paul F. Roye
  • Michael S. Piwowar, Commissioner, U.S. Securities and Exchange Commission, Speech, SEC-NYU Dialogue on Exchange-Traded Products (September 8, 2017)
    Paul F. Roye
  • Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the Economic Club of New York (July 12, 2017)
    Paul F. Roye
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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
  • 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
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017)
    Paul F. Roye
  • 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
  • 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
  • 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
Presentation Material
  • 2018 National Exam Program Examination Priorities
    Paul F. Roye
    • (s)
      Barry P. Barbash ~ Willkie Farr & Gallagher LLP
      David W. Grim ~ Stradley Ronon Stevens & Young LLP
      Paul F. Roye ~ Director, Capital Research and Management Company
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