Searching Content by Ropes & Gray LLP's Asset Management Practice ordered by Published Date Descending.
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Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
SEC Adopts Form CRS (Client Relationship Summary) For Advisers And Broker-Dealers
On a June 5, 2019, the SEC adopted Form CRS ("relationship summary"), along with new and amended rules and forms, to improve retail investors' understanding of the different investment-related
United States
27 Jun 2019
Ropes & Gray's Investment Management Update – April-May 2019
The following summarizes recent legal developments of note affecting the registered fund/investment management industry
United States
11 Jun 2019
CFTC Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam ...
United States
8 Apr 2019
SEC Issues Risk Alert On Adviser Personnel's Use Of Electronic Messaging
On December 14, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert to share its observations from a recent exam initiative.
United States
27 Dec 2018
SEC Issues No-Action Letters To Ease U.S. And MiFID II Compliance; EC Issues Guidance On MiFID II Advisers' Receipt Of Research From Non-EU Brokers
On October 26, 2017, the SEC staff issued three no-action letters to, respectively, the Investment Company Institute, the Securities Industry and Financial Markets Association's Asset Management Group and SIFMA.
United States
10 Nov 2017
Upcoming Deadline For Form SHC - Holdings Of Foreign Securities
Data as of December 31, 2016 must be submitted no later than March 3, 2017.
United States
23 Jan 2017
The AIFMD Third Country Passport – An Update
This Alert considers the opportunities available to managers under the marketing passport, and the implications of obtaining it.
2 Sep 2016
SEC Adopts Amendments To Form ADV And Recordkeeping Rule
Finally, an investment adviser that reports its client assets in Part 2A of Form ADV differently than RAUM reported in Item 5 must now check a box noting that election.
United States
30 Aug 2016
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