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Searching Content indexed under Litigation, Mediation & Arbitration by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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Investment Management Update: October – November 2015
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry...
United States
9 Dec 2015
2
Second Circuit Decision Could Disrupt Secondary Market For Bank-Originated Loans
In Madden, the plaintiff had a credit card account with Bank of America, N.A., a national bank, which sold the account to FIA Card Services, N.A. ("FIA"), a national bank based in Delaware.
United States
17 Jun 2015
3
Ropes & Gray’s Investment Management Update: October 2011
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
25 Oct 2011
4
Broker-Dealer/Adviser Sanctioned For Inadequate Insider Trading Procedures
On July 11, 2011, the Securities and Exchange Commission accepted an offer of settlement from Janney Montgomery Scott LLC ("Janney") to settle allegations that Janney willfully violated Section 15(g) of the Securities Exchange Act of 1934 the ("Exchange Act"), which requires registered brokers and dealers to establish, maintain and enforce written policies and procedures reasonably designed, taking into consideration the nature of such broker’s or dealer’s business, to prevent the misuse of mate
United States
 
18 Jul 2011
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