Paul Roye

• Clean Up Your Act, SEC Tells Fund Industry

  By Melanie Waddell, AdvisorOne  |  May 24, 2004

  The SEC's Paul Roye says mutual fund companies must "rekindle" the industry's reputation

• Regulators Question 1035 Exchange Sales

  By Melanie Waddell, AdvisorOne  |  February 27, 2004

  SEC and NASD clamp down on VA exchanges considered inappropriate for clients

• Hedge Fund Advisers Should Register, SEC Report Sa

  By Staff Writer  |  October 17, 2003

  WASHINGTON (HedgeWorld.com)?The U.S. Securities and Exchange Commission released its long-anticipated report on hedge funds, recommending that hedge fund advisers be required to register with the...

• SEC Adopts Amendments to Custody Rule

  By Staff Writer  |  October 17, 2003

  WASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission adopted amendments to rule 206(4)-2 under the Investment Advisers Act, the rule that mandates the separation and identification of...

• Congress Pushes Fund Disclosure

  By Staff Writer  |  August 20, 2003

  An excerpt from the Aug. 19, 2003, issue of The Wa

• An Emerging School of Thought: "Let the Middle Cla

  By Staff Writer  |  June 9, 2003

  WASHINGTON (HedgeWorld.com)--Paul Roye may have given new momentum to a bandwagon when he told the Investment Company Institute's annual gathering that current restrictions on mutual...

• Roye Speaks of Hedge Fund Fraud in Speech to ICI

  By Staff Writer  |  March 31, 2003

  ORLANDO, Fla. (HedgeWorld.com)--The director of investment management at the Securities and Exchange Commission addressed a conference of the Investment Company Institute Monday, and promised its...

• SEC May Hold Hearing on Hedge Funds

  By Staff Writer  |  November 15, 2002

  NEW YORK (HedgeWorld)--The Securities and Exchange Commission was expecting to hold public hearings this month on hedge funds, say attorneys involved in the agency's investigation...

• A Chairman Who Was 'Never Enthusiastic About

  By Staff Writer  |  November 11, 2002

  WASHINGTON (HedgeWorld)--Although Harvey Pitt's brief tenure at the Securities and Exchange Commission saw the launch of an investigation of hedge funds, people familiar with the...

• Roye: Funds of Hedge Funds Require Careful Scrutin

  By Staff Writer  |  October 21, 2002

  WASHINGTON (HedgeWorld.com)--Paul Roye, director of the division of investment management of the Securities and Exchange Commission, speaking to an audience of lawyers Thursday, dropped several...