2012-10-19T13:31:40-05:00 2011-12-31 410746749 CLIFTONLARSONALLEN LLP 4250 N FAIRFAX DRIVE SUITE 1020 ARLINGTON VA 22203 990 2011-01-01 521289843 INSTITUTE OF INTERNATIONAL FINANCE INC INST 2028573600 1333 H STREET NW NO 800E WASHINGTON DC 200054770 CHARLES DALLARA 2028573600 2012-09-21 1 YUNG-HEE GALLINARO P00035293 5712279500 2011 2016-02-24 21:20:13Z CHARLES DALLARA 1333 H STREET NW NO 800E WASHINGTON DC 200054770 32046169 0 X WWW.IIF.COM X 1982 DC TO SUPPORT THE FINANCIAL INDUSTRY IN PRUDENTLY MANAGING RISKS, INCLUDING SOVEREIGN RISK; IN DEVELOPING BEST PRACTICES AND STANDARDS; AND IN ADVOCATING REGULATORY, FINANCIAL, AND ECONOMIC POLICIES THAT ARE IN THE BROAD INTEREST OF OUR MEMBERS AND FOSTER GLOBAL FINANCIAL STABILITY. 37 36 105 36 0 0 0 0 27324820 30116917 687324 430566 89890 1607 28102034 30549090 0 0 0 0 19131788 19997885 0 0 0 9523663 9615116 28655451 29613001 -553417 936089 28050995 29193986 8743394 9366819 19307601 19827167 X TO SUPPORT THE FINANCIAL INDUSTRY IN PRUDENTLY MANAGING RISKS, INCLUDING SOVEREIGN RISK; IN DEVELOPING BEST PRACTICES AND STANDARDS; AND IN ADVOCATING REGULATORY, FINANCIAL, AND ECONOMIC POLICIES THAT ARE IN THE BROAD INTEREST OF OUR MEMBERS AND FOSTER GLOBAL FINANCIAL STABILITY. 0 0 ECONOMIC AND FINANCIAL ANALYSISTHE INSTITUTE PROVIDES ITS MEMBERS WITH HIGH-QUALITY, TIMELY, AND IMPARTIAL ANALYSIS AND RESEARCH ON GLOBAL FINANCIAL AND ECONOMIC DEVELOPMENTS AND OTHER CENTRAL ISSUES IN GLOBAL FINANCE. OUR ANALYSIS BENEFITS FROM IN-DEPTH COVERAGE OF MAJOR MATURE ECONOMIES AND FINANCE. IN 2011, WE PUBLISHED 82 RESEARCH NOTES, 77 INSIGHTS, 5 REGIONAL REPORTS; 3 CAPITAL FLOWS REPORTS; 10 MONTHLY GLOBAL ECONOMIC MONITORS; 10 CAPITAL MARKET MONITORS; DAILY ECONOMIC AND MARKET BRIEFINGS IN ADDITION TO SEVERAL OTHER RESEARCH REPORTS. IN ADDITION TO THESE REPORTS, INSTITUTE OF INTERNATIONAL FINANCE, INC. ECONOMISTS PROVIDE ECONOMIC BRIEFINGS IN A VARIETY OF GLOBAL AND REGIONAL VENUES. EVENTS AND TRAINING PROGRAMSTHE INSTITUTE PROVIDES A WIDE RANGE OF GLOBAL AND REGIONAL OPPORTUNITIES FOR MEMBERS TO GATHER AND DISCUSS ISSUES OF COMMON INTEREST AND CONCERN ON GLOBAL FINANCIAL AND ECONOMIC ISSUES. IN 2011, THE GLOBAL ECONOMIC RECOVERY AND THE EUROPEAN DEBT CRISIS BOTH FIGURED PROMINENTLY IN ALL OUR EVENTS WHICH TOTALED APPROXIMATELY 100 AND INCLUDED PRESENTATIONS ON THE FINANCIAL AND ECONOMIC OUTLOOK, DISCUSSIONS ON RISK MANAGEMENT, DISSEMINATION OF MARKET BEST PRACTICES, ANALYSIS OF THE RECOVERY, RECOMMENDATIONS FOR THE G20, AND COMMITTEE OR WORKING GROUP MEETINGS AMONG OTHER THINGS. GLOBAL FINANCIAL SERVICES REGULATIONTHE FOCUS OF THE INSTITUTE'S REGULATORY AFFAIRS WORK IS TWO-FOLD: TO SERVE AS A FORUM FOR DIALOGUE WITH OFFICIALS ON KEY REGULATORY ISSUES AFFECTING THE GLOBAL FINANCIAL SERVICES INDUSTRY AND TO IDENTITY AND DISSEMINATE BEST PRACTICES AND INDUSTRY STANDARDS IN SUCH AREAS AS RISK MANAGEMENT, CORPORATE GOVERNANCE, AND REGULATORY COMPLIANCE. IN 2011, THE INSTITUTE OF INTERNATIONAL FINANCE, INC. RELEASED SEVERAL PUBLICATIONS ON RELATED TOPICS INCLUDING, "ACHIEVING EFFECTIVE SUPERVISION: AN INDUSTRY PERSPECTIVE," "MACROPRUDENTIAL OVERSIGHT: AN INDUSTRY PERSPECTIVE," "ADDRESSING PRIORITY ISSUES IN CROSS BORDER RESOLUTION," "THE IMPLICATIONS OF FINANCIAL REGULATORY REFORM FOR THE INSURANCE INDUSTRY," "MAKING STRIDES IN FINANCIAL SERVICES RISK MANAGEMENT," "RISK IT AND OPERATIONS: STRENGTHENING CAPABILITIES," AND "IMPLEMENTING ROBUST RISK APPETITE FRAMEWORKS TO STRENGTHEN FINANCIAL INSTITUTIONS." THE INSTITUTE HAS ALSO EMPHASIZED THE NEED FOR THE FINANCIAL SERVICES INDUSTRY TO EXAMINE AND IMPROVE ITS OWN PRACTICES AND, CONTINUED TO REVIEW AND ENCOURAGE THE IMPLEMENTATION OF INDUSTRY BEST PRACTICES. THE INSTITUTE OF INTERNATIONAL FINANCE, INC. CONTINUES TO SERVE AS A FORUM FOR DIALOGUE WITH THE FINANCIAL STABILITY BOARD (FSB), BASEL COMMITTEE ON BANKING SUPERVISION (BCBS), AND THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS (IOSCO), AMONG OTHERS. CAPITAL MARKETS AND EMERGING MARKETS POLICYTHE INSTITUTE OF INTERNATIONAL FINANCE, INC. WORKS WITH POLICYMAKERS, REGULATORS, AND MULTILATERAL ORGANIZATIONS TO STRENGTHEN THE EFFICIENCY, TRANSPARENCY, STABLILITY, AND COMPETITIVENESS OF THE GLOBAL FINANCIAL SYSTEM, WITH AN EMPHASIS ON VOLUNTARY, MARKET-BASED APPROACHES TO CRISIS PREVENTION AND MANAGEMENT, AND PROMOTES THE DEVELOPMENT OF SOUND FINANCIAL SYSTEMS, WITH AN EMPHASIS ON EMERGING MARKETS. IN 2011, THE INSTITUTE PLAYED A VITAL ROLE IN THE GREEK DEBT NEGOTIATIONS AND CONTINUED TO ADVANCE THE IMPLEMENTATION OF THE PRINCIPLES FOR STABLE CAPITAL FLOWS AND FAIR DEBT RESTRUCTURING. DURING 2011, THE PRINCIPLES IMPLEMENTATION PROCESS SUPPORTED TRADITIONAL CRISIS PREVENTION AND RESOLUTION CASES IN ADDITION TO PROVIDING GUIDANCE RELATED TO THE EUROPEAN DEBT CRISIS. THE BENEFITS OF A COOPERATIVE, TRANSPARENT, AND MARKET-BASED APPROACH TO GOOD FAITH NEGOTIATIONS IN THESE CASES CONTRIBUTED TO THE RESTORATION OF EXTERNAL MARKET ACCESS IN COUNTRIES SUPPORTED BY DEBT-RELIEF PROGRAMS. MEMBERSHIP DEVELOPMENTMEMBERSHIP DEVELOPMENT ACTIVITIES INCLUDE, AMONG OTHER THINGS, ONE-ON-ONE MEETINGS WITH OUR MEMBERS TO DISCUSS ISSUES OF CONCERN TO THEM AND TO EXPLAIN THE RANGE OF PRODUCTS AND SERVICES AVAILABLE TO THEM. IT ALSO INCLUDES PRESS RELATIONS AS MANY OF THE TOPICS WE COVER ANALYTICALLY ARE OF INTEREST TO THE PRESS. 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 37 0 1 105 1 0 1 CH 0 0 0 0 X 37 36 0 0 0 0 1 1 1 1 1 0 0 0 1 1 0 1 1 1 1 0 X THE ORGANIZATION 2028573600 1333 H STREET NW NO 800E WASHINGTON DC 200054770 JOSEF ACKERMANN 2.00 X X 0 0 0 ROBERT E SETUBAL 2.00 X X 0 0 0 DOUGLAS FLINT 2.00 X X 0 0 0 RICK WAUGH 2.00 X X 0 0 0 WALTER B KIELHOLZ 2.00 X X 0 0 0 MARCUS WALLENBERG 2.00 X X 0 0 0 HASSAN EL SAYED ABDALLA 2.00 X 0 0 0 WALTER BAYLY 2.00 X 0 0 0 MARTIN BLESSING 2.00 X 0 0 0 GARY D COHN 2.00 X 0 0 0 IBRAHIM S DABDOUB 2.00 X 0 0 0 YOON-DAE EUH 2.00 X 0 0 0 FEDERICO GHIZZONI 2.00 X 0 0 0 FRANCISCO GONZALEZ 2.00 X 0 0 0 JAMES P GORMAN 2.00 X 0 0 0 PIYUSH GUPTA 2.00 X 0 0 0 GERALD HASSELL 2.00 X 0 0 0 JAN HOMMEN 2.00 X 0 0 0 JIANG JIANQING 2.00 X 0 0 0 CHANDA KOCHHAR 2.00 X 0 0 0 NOBUO KUROYANAGI 2.00 X 0 0 0 JACKO MAREE 2.00 X 0 0 0 MASAYUKI OKU 2.00 X 0 0 0 FREDERIE OUDEA 2.00 X 0 0 0 VIKRAM PANDIT 2.00 X 0 0 0 BAUDOUIN PROT 2.00 X 0 0 0 URS ROHNER 2.00 X 0 0 0 SUZAN SABANCI DINCER 2.00 X 0 0 0 PETER SANDS 2.00 X 0 0 0 YASUHIRO SATO 2.00 X 0 0 0 MARTIN SENN 2.00 X 0 0 0 MICHAEL SMITH 2.00 X 0 0 0 JAMES E STALEY 2.00 X 0 0 0 ANDREAS TREICHL 2.00 X 0 0 0 AXEL WEBER 2.00 X 0 0 0 PETER WALLISON 2.00 X 0 0 0 CHARLES DALLARA 40.00 X X 3930881 0 24500 BARRIE ORELLANA 40.00 X 389706 0 24500 HUNG TRAN 40.00 X 748085 0 24500 PHILIP SUTTLE 40.00 X 703174 0 24500 ABDESSATAR OUANES 40.00 X 432496 0 24500 WOLFGANG ENGEL 40.00 X 344287 0 24500 ANDRES PORTILLA 40.00 X 296531 0 24500 PAUL WRIGHT 40.00 X 497554 0 24500 GREGORY FAGER 40.00 X 473394 0 24500 GEORGE ABED 40.00 X 527136 0 24500 JEFFREY ANDERSON 40.00 X 474236 0 24500 DAVID SCHRAA 40.00 X 509358 0 24500 9326838 0 294000 40 0 1 0 VOGL COMMUNICATIONS 2000 P ST NW 408 WASHINGTON DC 20036 PRESS RELATIONS 315000 1 MEMBERSHIP DUES 900099 26633490 26633490 SPONSORSHIP INCOME 900099 2792922 2792922 REGISTRATION FEE INCOM 900099 690505 690505 30116917 343250 343250 1584395 1497079 87316 87316 87316 OTHER INCOME 900099 1607 1607 1607 30549090 27323995 0 3225095 9763259 7110623 964656 1452465 706882 180342 55438 567108 1200939 1641225 2650635 2211644 420549 64343 DATA SERVICE, SUBSCRIPT 463506 TAXES 138962 MISCELLANEOUS EXPENSES 20425 29613001 -126263 -52864 16720086 18906614 367686 653349 612745 525916 3555235 2406720 871128 1148515 9605613 8012456 28050995 29193986 1871543 1816846 6380516 7190175 491335 359798 8743394 9366819 X 19307601 19827167 19307601 19827167 28050995 29193986 X 936089 -416523 X 0 1 1 X 0 940128 554235 385893 1601519 1146773 454746 1013588 705712 307876 1148515 DEFERRED RENT 359798 359798 30549090 29613001 936089 -416523 -416523 519566 30132567 -416523 -416523 30549090 0 30549090 29613001 0 29613001 0 29613001 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE INSTITUTE ADOPTED THE INCOME TAX STANDARD FOR UNCERTAIN TAX POSITIONS ON JANUARY 1, 2009. THE INSTITUTE EVALUATED ITS INCOME TAX POSITIONS AND DETERMINED THAT THEY ARE MORE-LIKELY-THAN-NOT TO BE SUSTAINED ON EXAMINATION. THE INSTITUTE'S TAX RETURNS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL, STATE, AND LOCAL AUTHORITIES. THE TAX RETURNS FOR THE YEARS 2008 TO 2010 ARE OPEN FOR EXAMINATION BY FEDERAL, STATE, AND LOCAL AUTHORITIES. EAST ASIA AND THE PACIFIC - 1 1 EXPENSES FOR START-UP OFFICE IN CHINA. THE GOAL OF THE INSTITUTE OF INTERNATIONAL FINANCE, INC.'S ASIA REPRESENTATIVE OFFICE IN BEIJING IS TO FACILITATE THE EXCHANGE OF IDEAS, EXPERIENCE, KNOWLEDGE AND CONTACTS BETWEEN THE RAPIDLY GROWING FINANCIAL SERVICES INDUSTRY OF ASIA AND ITS COUNTERPARTS ACROSS THE WORLD. THE OFFICE PLAYED A CENTRAL ROLE IN DEEPENING AND EXPANDING INSTITUTE OF INTERNATIONAL FINANCE, INC. ACTIVITIES IN THE REGION AND IN SUPPORTING THE ASIAN FINANCIAL SECTOR AS IT ASSUMES A GREATER ROLE AND VOICE IN THE INTERNATIONAL FINANCIAL COMMUNITY. THE OFFICE WAS ESTABLISHED TO COORDINATE A WIDE RANGE OF ACTIVITIES IN ASIA; TO ENHANCE OUR ABILITY TO MEET THE NEEDS OF OUR ASIAN MEMBERS IRRESPECTIVE OF DIFFERENCES IN TIME, LANGUAGE, AND CULTURE; TO INFORM MEMBERS IN THE REGION OF THE INSTITUTE OF INTERNATIONAL FINANCE, INC.'S ONGOING RESEARCH AND ANALYSIS; TO ENCOURAGE MEMBERS TO ACTIVELY PARTICIPATE IN THE GLOBAL REGULATORY DIALOGUE; AND TO IDENTIFY COMMON INTERESTS ON KEY POLICY ISSUES. 374851 1 1 0 0 1 1 374851 0 374851 0 0 0 0 0 0 X 1 1 X X X X 0 0 0 CHARLES DALLARA 1306690 0 2150000 0 474191 0 24500 0 0 0 3955381 0 0 0 BARRIE ORELLANA 219706 0 170000 0 0 0 24500 0 0 0 414206 0 0 0 HUNG TRAN 368750 0 375000 0 4335 0 24500 0 0 0 772585 0 0 0 PHILIP SUTTLE 363174 0 340000 0 0 0 24500 0 0 0 727674 0 0 0 ABDESSATAR OUANES 256252 0 175000 0 1244 0 24500 0 0 0 456996 0 0 0 WOLFGANG ENGEL 219287 0 125000 0 0 0 24500 0 0 0 368787 0 0 0 ANDRES PORTILLA 211531 0 85000 0 0 0 24500 0 0 0 321031 0 0 0 PAUL WRIGHT 271250 0 225000 0 1304 0 24500 0 0 0 522054 0 0 0 GREGORY FAGER 322951 0 150000 0 443 0 24500 0 0 0 497894 0 0 0 GEORGE ABED 327136 0 200000 0 0 0 24500 0 0 0 551636 0 0 0 JEFFREY ANDERSON 312625 0 160000 0 1611 0 24500 0 0 0 498736 0 0 0 DAVID SCHRAA 279341 0 230000 0 17 0 24500 0 0 0 533858 0 0 0 PART I, LINE 1A PERSONAL SERVICES ARE PROVIDED TO CHARLES DALLARA AND THE AMOUNTS ARE INCLUDED IN HIS REPORTABLE COMPENSATION ON FORM W-2. FORM 990, PART VI, SECTION A, LINE 1 THE BOARD OF DIRECTORS MAY APPOINT SUCH COMMITTEES, INCLUDING AN EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS, AS IT SHALL DEEM FIT. SUCH COMMITTEES SHALL HAVE SUCH POWERS, EXCEPT THE POWER TO AMEND THE BY-LAWS OR TO FILL VACANCIES ON THE BOARD, AS THE BOARD OF DIRECTORS MAY DETERMINE. FORM 990, PART VI, SECTION A, LINE 6 FULL MEMBERS AND ASSOCIATE MEMBERS FORM 990, PART VI, SECTION A, LINE 7A FULL MEMBERS ELECT 29 OF THE INSTITUTE'S AUTHORIZED TOTAL OF 7 BOARD MEMBERS. FORM 990, PART VI, SECTION A, LINE 7B MEMBERS APPROVE THE BOARD RECOMMENDED BUDGET. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS PREPARED BY THE OUTSIDE ACCOUNTING FIRM, REVIEWED BY THE ACCOUNTING MANAGER, REVIEWED AND FINALIZED BY THE DIRECTOR OF FINANCE, THEN REVIEWED AND SIGNED BY THE MANAGING DIRECTOR BEFORE IT IS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 15 THE BOARD OF DIRECTORS HAVE ESTABLISHED A SEPARATE COMPENSATION COMMITTEE WHICH REVIEWS THE COMPENSATION OF THE ORGANIZATION CEO. THIS INCLUDES A REVIEW OF COMPARABILITY DATA, AND CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DECISION OF THE ORGANIZATON'S CEO. THE PROCESS LAST TOOK PLACE IN JULY, 2010. THE MANAGING DIRECTOR REVIEWS MARKET COMPENSATION DATA FOR KEY EMPLOYEES AS PROVIDED BY THE DIRECTOR OF FINANCE AND ADMINISTRATION. THIS PROCESS TOOK PLACE IN DEC, 2011. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -416,523.