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Investment Management Institute 2017
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Corporate & Securities
Published:
Mar 2017
ISBN:
9781402428753
PLI Item #:
180869
CHB Spine #:
B2309, B2310
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1. SEC Strategic Agenda Outline
Chapter 2. “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)
Chapter 3. 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)
Chapter 4. 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)
Chapter 5. 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)
Chapter 6. U.S. Securities and Exchange Commission Press Release: SEC Adopts Rules to Enhance Information Reported by Investment Advisers (August 25, 2016)
Chapter 7. 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)
Chapter 8. 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)
Chapter 9. U.S. Securities and Exchange Commission Press Release: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies (December 11, 2015)
Chapter 10. 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)
Chapter 11. U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-06: Mutual Fund Fee Structures (December 2016)
Chapter 12. 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)
Chapter 13. U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-04: Business Continuity Planning for Registered Investment Companies (June 2016)
Chapter 14. 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)
Chapter 15. 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)
Chapter 16. U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-01: Mutual Fund Distribution and Sub-Accounting Fees (January 2016)
Chapter 17. 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)
Chapter 18. 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
Chapter 19. 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)
Chapter 20. 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)
Chapter 21. 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)
Chapter 22. 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)
Chapter 23. 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)
Chapter 24. 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)
Chapter 25. 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)
Chapter 26. The DOL Fiduciary Rule (PowerPoint slides)
Chapter 27. U.S. Department of Labor, Employee Benefits Security Administration: Conflict of Interest FAQs (Part I—Exemptions) (October 27, 2016)
Chapter 28. U.S. Department of Labor, Employee Benefits Security Administration: Conflict of Interest FAQs (Part II— Rule) (January 2017)
Chapter 29. U.S. Department of Labor, Employee Benefits Security Administration: Consumer Protections for Retirement Investors—FAQs on Your Rights and Financial Advisers (January 2017)
Chapter 30. DOL Publishes Final Rule Defining “Fiduciary” and Related Exemptions (May 6, 2016)
Chapter 31. U.S. Securities and Exchange Commission Response to Mark D. Wigder of Jenkens & Gilchrist, Re: Request for No-Action Relief on Behalf of Edward Mahaffy (March 6, 2003)
Chapter 32. U.S. Securities and Exchange Commission, Division of Investment Management, Response of the Office of Chief Counsel to E*TRADE Securities, LLC, Re: Investment Company Act of 1940—Rule 12b-1 and Section 18(f), 22(d) and 48(a) (November 30, 2005)
Chapter 33. DOL Issues Proposed Best Interest Contract Exemption for Insurance Intermediaries (January 23, 2017)
Chapter 34. The Final Fiduciary Rule: Impact on Investment Managers (January 24, 2017)
Chapter 35. Fiduciary Rule—Executive Summary (April 7, 2016)
Chapter 36. DOL Releases Guidance on Best Interest Contract and other Exemptions (October 31, 2016)
Chapter 37. DOL Releases Second Set of FAQ Guidance on Fiduciary Rule (January 17, 2017)
Chapter 38. Rule 12b-1 Plans of Mutual Funds Underlying Variable Insurance Product Separate Accounts (January 11, 2017)
Chapter 39. Variable Insurance Products—Recent Product Trends and Regulatory Developments (January 20, 2017)
Chapter 40. Compliance and Inspections Outline
Chapter 41. U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Examination Priorities for 2017
Chapter 42. U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—Examining Whistleblower Rule Compliance (October 24, 2016)
Chapter 43. 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)
Chapter 44. 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)
Chapter 45. 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)
Chapter 46. 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)
Chapter 47. 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)
Chapter 48. 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)
Chapter 49. 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)
Chapter 50. U.S. Securities and Exchange Commission Press Release: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements (January 17, 2017)
Chapter 51. 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)
Chapter 52. U.S. Securities and Exchange Commission Press Release: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule (January 13, 2017)
Chapter 53. U.S. Securities and Exchange Commission Press Release: SEC Charges Platinum Funds and Founder With Defrauding Investors (December 19, 2016)
Chapter 54. U.S. Securities and Exchange Commission Press Release: PIMCO Settles Charges of Misleading Investors About ETF Performance (December 1, 2016)
Chapter 55. 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)
Chapter 56. U.S. Securities and Exchange Commission Press Release: JPMorgan Chase Paying $264 Million to Settle FCPA Charges (November 17, 2016)
Chapter 57. 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)
Chapter 58. U.S. Securities and Exchange Commission Press Release: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading (October 13, 2016)
Chapter 59. U.S. Securities and Exchange Commission Press Release: Investment Adviser Charged With Cherry-Picking and Misleading Clients (October 4, 2016)
Chapter 60. U.S. Securities and Exchange Commission Press Release: Och-Ziff Hedge Fund Settles FCPA Charges—Och-Ziff Executives Also Settle Charges (September 29, 2016)
Chapter 61. 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)
Chapter 62. U.S. Securities and Exchange Commission Press Release: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading (September 21, 2016)
Chapter 63. U.S. Securities and Exchange Commission Press Release: Two Firms Charged With Compliance Failures in Wrap Fee Programs (September 8, 2016)
Chapter 64. U.S. Securities and Exchange Commission Press Release: Investment Advisers Paying Penalties for Advertising False Performance Claims (August 25, 2016)
Chapter 65. U.S. Securities and Exchange Commission Press Release: Apollo Charged With Disclosure and Supervisory Failures (August 23, 2016)
Chapter 66. U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Charged in Scheme Involving Terminally Ill (August 15, 2016)
Chapter 67. U.S. Securities and Exchange Commission Press Release: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades (July 26, 2016)
Chapter 68. U.S. Securities and Exchange Commission Press Release: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors (July 14, 2016)
Chapter 69. U.S. Securities and Exchange Commission Press Release: Private Fund Administrator Charged With Gatekeeper Failures (June 16, 2016)
Chapter 70. 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)
Chapter 71. U.S. Securities and Exchange Commission Press Release: SEC: Private Equity Fund Adviser Acted As Unregistered Broker (June 1, 2016)
Chapter 72. U.S. Securities and Exchange Commission Press Release: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds (May 31, 2016)
Chapter 73. 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)
Chapter 74. U.S. Securities and Exchange Commission Press Release: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners (May 6, 2016)
Chapter 75. U.S. Securities and Exchange Commission Press Release: AIG Affiliates Charged With Mutual Fund Shares Conflicts (March 14, 2016)
Chapter 76. U.S. Securities and Exchange Commission Press Release: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past (March 8, 2016)
Chapter 77. U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Agrees to Reimburse Investor Losses (January 28, 2016)
Chapter 78. U.S. Securities and Exchange Commission Press Release: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors (January 19, 2016)
Chapter 79. U.S. Securities and Exchange Commission Press Release: SEC Charges State Street for Pay-to-Play Scheme (January 14, 2016)
Chapter 80. BHP Billiton Settles with SEC for $25 Million for Providing Foreign Officials with Luxury Travel to Olympics (May 21, 2015)
Chapter 81. New FCPA Guidance Highlights Importance of Effective Compliance Procedures (November 19, 2012)
Chapter 82. Stephanie R. Breslow, Ch. 12: Investment Advisers Act of 1940 (2nd Edition) (November 2016)
Chapter 83. Federal and State Regulators Target Compliance Officers—Part I, The Banking Law Journal (July/August 2015)
Chapter 84. Federal and State Regulators Target Compliance Officers—Part II, The Banking Law Journal (September 2015)
Chapter 85. Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart (December 31, 2016)
Chapter 86. Enforcement Trends and Themes
Chapter 87. The Ongoing Evolution of Exchange-Traded Funds: An Overview of the Development of ETFs, Their Regulation, and the Underlying Market (January 11, 2017)
Chapter 88. Ethics Outline (January 1, 2017)
Chapter 89. Derivatives Lawyers: Red Flags—See Something, Do Something, Bloomberg BNA: Securities Regulation & Law Report, 47 SRLR 2182 (November 16, 2015)
Index
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