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Investment Management Institute 2013
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Banking, Corporate & Securities
Published:
Mar 2013
i
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ISBN:
9781402419553
PLI Item #:
41457
CHB Spine #:
B2010
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. SEC Agenda Panel
Chapter 2. Regulation of Investment Advisers by the U.S. Securities and Exchange Commission
Chapter 3. Financial Stability Oversight Council—Proposed Recommendations Regarding Money Market Mutual Fund Reform
Chapter 4. U.S. Securities and Exchange Commission: Investment Management Staff Issues of Interest
Chapter 5. Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services by Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 6. Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products by Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission
Chapter 7. Keynote Address at the National Society of Compliance Professionals National Meeting by Commissioner Daniel M. Gallagher, U.S. Securities and Exchange Commission
Chapter 8. Remarks to the IRI 2012 Government, Legal & Regulatory Conference by Susan Nash, Associate Director, Division of Investment Management, U. S. Securities and Exchange Commission
Chapter 9. Overview of ERISA
Chapter 10. CFTC Regulation: Use of Derivatives in Investment Management
Chapter 11. Alert—SEC Updates form PF Frequently Asked Questions
Chapter 12. Client Memorandum—Final Rules for the Private Fund Investment Advisers Registration Act of 2010
Chapter 13. Alert—Private Fund Systemic Risk Reporting
Chapter 14. Alert—Private Fund Systemic Risk Reporting
Chapter 15. Alert—Financial Regulatory Reform: Key Issues for Private Fund Managers
Chapter 16. Examinations by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations
Chapter 17. Letter from the SEC Office of Compliance Inspections and Examinations Regarding the National Exam Program (NEP)
Chapter 18. SEC Office of Compliance Inspections and Examinations Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices Under Section 15(g) of the Securities Exchange Act of 1934
Chapter 19. National Examination Risk Alert by the Office of Compliance Inspections and Examinations—Volume II, Issue 2—Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities
Chapter 20. National Examination Risk Alert by the Office of Compliance Inspections and Examinations—Volume II, Issue 1—Investment Adviser Use of Social Media
Chapter 21. Press Release—SEC Sanctions Two Investment Advisers for Impeding Examinations
Chapter 22. Conflicts of Interest and Risk Governance—Remarks by Carlo v. di Florio, Director, Office of Compliance Inspections and Examinations, at the National Society of Compliance Professionals
Chapter 23. SEC Anti-Money Laundering (AML) Source Tool for Mutual Funds
Chapter 24. Risk Assessment at the U.S. Securities & Exchange Commission—Remarks by Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy and Financial Innovation, U.S. Securities & Exchange Commission, at the Risk Minds USA Conference
Chapter 25. Speech by SEC Staff: What SEC Registration Means for Hedge Fund Advisers, by Norm Champ, Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, at the New York City Bar
Chapter 26. Speech by SEC Staff: Address at the Private Equity International Private Fund Compliance Forum, by Carlo v. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 27. Remarks at “the SEC Speaks in 2012” by Commissioner Daniel M. Gallagher, U.S. Securities & Exchange Commission
Chapter 28. Speech by SEC Staff: Remarks at the Compliance Outreach Program, by Carlo v. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 29. Press Release: SEC Penalizes Investment Advisers for Compliance Failures
Chapter 30. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to 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 in the Matter of EM Cap
Chapter 31. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Chapter 32. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940
Chapter 33. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment
Chapter 34. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940
Chapter 35. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
Chapter 36. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
Chapter 37. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act
Chapter 38. Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act
Chapter 39. FS Regulatory Brief—What Mutual Fund CCOs and GCs Are Talking About Now
Chapter 40. SEC and State Disclosure Developments Impacting Variable Insurance Products and Underlying Mutual Fund Shares
Chapter 41. SEC and State Regulation of Indexed Annuities After the Dodd-Frank Act
Chapter 42. New Volatility Controlled/Hedged Insurance Product Funds
Chapter 43. Developments in Litigation Involving Mutual Funds and Investment Advisers
Chapter 44. Enforcement Trends and Themes
Chapter 45. 2012 SEC Investment Management Enforcement Actions: A Summary Chart
Chapter 46. Professional Responsibility Issues Under Title VII of the Dodd-Frank Act
Chapter 47. Current Environment: OCIE
Index
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