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Investment Management Institute 2005: Meeting the Challenge of a New Regulatory Regime
Chair(s):
Paul F. Roye, Joel H. Goldberg
Practice Area:
Banking and finance,
Corporate law,
Securities and other financial products
Published:
Apr 2005
i
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ISBN:
140240591X
PLI Item #:
6369
CHB Spine #:
B1483
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Front Matter
Table of Contents
Chapter 1. Speech by the SEC Staff: Remarks Before the Fund Governance Program Presented by the Mutual Fund Directors Forum and Fund Directions by Paul F. Roye, December 9, 2004
Chapter 2. Speech by the SEC Staff: Remarks Before the ICI 2004 Securities Law Developments Conference by Paul F. Roye, December 6, 2004
Chapter 3. Speech by SEC Staff: Keynote Address at the Tenth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation by Paul F. Roye, October 28, 2004
Chapter 4. SEC Final Rule: Investment Company Governance, Release No. IC-26520, File No. S7-03-04, July 27, 2004
Chapter 5. SEC Final Rule: Investment Adviser Codes of Ethics, Release Nos. IA-2256, IC-26492; File No. S7-04-04, July 2, 2004
Chapter 6. SEC Final Rule: Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings, Release Nos. 33-8408; IC-26418; File Nos. S7-26-03, April 16, 2004
Chapter 7. SEC Final Rule:Compliance Programs of Investment Companies and Investment Advisers, Release Nos. A-2204, IC-26299, File No. S7-03-03, December 17, 2003
Chapter 8. Speech by SEC Commissioner: Mutual Fund Regulation: A Time for Healing and Reform by SEC Commissioner Harvey J. Goldschmid, December 4, 2003
Chapter 9. Developing an Effective Compliance Program for Registered Investment Advisers
Chapter 10. SEC Concept of “Culture of Compliance” in Connection with Rule 38a-1 Under the Investment Company Act of 1940 and as Applicable to Life Insurance Companies Issuing Variable Insurance Products and Underlying Mutual Funds
Chapter 11. Meshing New Regulatory Requirements with the Variable Product Two-Tier Structure
Chapter 12. New Issues for Chief Compliance Officers: Rules 206(4)-7 (Investment Adviser Compliance Programs) and 38a-1 (Investment Company Compliance Programs)
Chapter 13. Current Developments & Strategies in Litigation Under the Investment Company Act of 1940
Chapter 14. Recent Enforcement Cases Involving Mutual Funds and Investment Advisers
Chapter 15. The Post-Canary Fund Regulatory Deluge
Chapter 16. Issues Facing Lawyers as: Chief Compliance Officers and Gatekeepers
Chapter 17. Speech by SEC Staff: The New Compliance Rule: an Opportunity for Change by Lori A. Richards, June 28, 2004
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