New Feature: Search Alerts are available now.
Learn more
.
Skip to main content
Create Account
About PLI PLUS
Help
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- News
- Treatises
Forms & Checklists
Transcripts
My Bookshelf
My History
< Back To Results
1 in 1 results
Previous Result
Next Result
Investment Management Institute 2012
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Banking, Corporate & Securities
Published:
Feb 2012
i
Other versions can be found in the
Related Items
tab.
ISBN:
9781402417276
PLI Item #:
34297
CHB Spine #:
B1929
This version is not current.
Click here for the most recent version.
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents
Chapter 1. SEC Agenda Outline
Chapter 2. Remarks at SIFMA's 2011 Annual Meeting by Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission
Chapter 3. Speech by SEC Staff: Remarks Before the ALI-ABA Conference on Life Insurance Company Products, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 4. Testimony on Market Micro-Structure: An Examination of ETFs, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 5. Speech by SEC Staff: Remarks Before the Mutual Fund Directors Forum and the University of Maryland "Oversight Derivatives" Conference, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 6. Speech by SEC Staff: Keynote Address at the Insured Retirement Institute 2011 Government, Legal & Regulatory Conference, by Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 7. The Blurring of Regulatory Lines: Broker-Dealer and Investment Adviser Harmonization Initiatives; Impact of Department of Labor Initiatives on Fund Managers; Dodd-Frank Regulations; Other Regulatory Constraints on Mutual Funds
Chapter 8. The Regulation of Derivatives: Under UCITS and the Investment Company Act
Chapter 9. Private Fund Managers and the Investment Advisers Act of 1940: The Brave New Regulatory World Has Begun
Chapter 10. Regulation of Investment Advisers by the U.S. Securities and Exchange Commission
Chapter 11. The Securities and Exchange Commission's Whistleblower Program
Chapter 12. Compliance and Inspections Outline
Chapter 13. U.S. Securities and Exchange Commission: Annual Report on the Dodd-Frank Whistleblower Program Fiscal Year 2011
Chapter 14. Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 15. Speech by SEC Staff: Private Equity International's Private Fund Compliance, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 16. Speech by SEC Staff: Remarks at the IA Watch Annual IA Compliance Best Practices Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 17. Speech by SEC Staff: Keynote Address at the SIFMA Anti-Money Laundering Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 18. Speech by SEC Staff: Remarks at the CCOutreach National Seminar, by Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 19. Developments in Employee Benefit Plan Law Outline
Chapter 20. Developments in Litigation Involving Mutual Funds and Investment Advisers
Chapter 21. The Investment Management Institute: Enforcement Trends and Themes
Chapter 22. The Asset Management Business and the Looming Specter of Increased Enforcement Scrutiny
Chapter 23. Ethics and Professional Responsibility Issues
Index
About Us