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Searching Content indexed under Government, Public Sector by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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FinCEN Issues Customer Due Diligence Rules And Amends AML Program Rules
The changes made by the Release are summarized below. The compliance date for all of the Release's changes is May 11, 2018.
United States
10 Jun 2016
2
SEC Adopts Final Rule Defining Family Offices Exempt From SEC Registration
On June 22, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 202(a)(11)(G)-1 under the Investment Advisers Act of 1940 ("Advisers Act") to create an exemption from registration for qualified "family offices."
United States
 
29 Jun 2011
3
Ropes & Gray's Investment Management Update: May 2011
On May 10, 2011, the Securities and Exchange Commission (the "SEC") issued proposed rules and a notice of its intention to issue an order increasing the thresholds for qualification as a "Qualified Client" under the Investment Advisers Act of 1940 (the "Advisers Act"), as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
7 Jun 2011
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