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Searching Content indexed under Charges, Mortgages, Indemnities by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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Ropes & Gray's Investment Management Update: August – September 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
12 Oct 2017
2
2017 ICI Mutual Funds And Investment Management Conference
Ropes & Gray's memorandum summarizing the 2017 ICI Mutual Funds and Investment Management Conference sponsored by the ICI and the FBA is available above.
United States
4 Apr 2017
3
Ropes & Gray’s Investment Management Update: December 2011/January 2012
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
21 Feb 2012
4
Legal And Compliance Officers Left In Doubt About Their Personal Liability
On October 19, 2009, the SEC instituted an administrative proceeding against Theodore Urban, the former general counsel of a broker-dealer, alleging that he had "failed to supervise" a registered representative of the firm.
United States
21 Feb 2012
5
SEC Extends Temporary Registration Of Municipal Advisors
On December 21, 2011, the Securities and Exchange Commission (the "SEC") extended the term of the interim final temporary rule providing for the temporary registration of municipal advisors (the "Interim Rule") to September 30, 2012.
United States
14 Feb 2012
6
Senior SEC Officials Discuss Asset Management Examination And Enforcement Initiatives And Priorities For 2012
In several recent public appearances, senior members of the SEC staff have commented on their current examination and enforcement priorities for the asset management industry in 2012.
United States
13 Feb 2012
7
SEC Releases Guidance On Whether Entities Related To A Registered Adviser Need To Register
On January 18, 2012, the staff of the Securities and Exchange Commission ("SEC") released guidance on various issues regarding the status under the Investment Advisers Act of 1940.
United States
25 Jan 2012
8
Ropes & Gray’s Investment Management Update: November/December 2011
The Securities and Exchange Commission ("SEC") recently solicited a second round of comments on the Financial Industry Regulatory Association ("FINRA") proposal imposing new disclosure and filing requirements for private placements.
United States
3 Jan 2012
9
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
10
Massachusetts Adopts New Regulation On The Use Of Expert Network Services
On August 8, 2011, the Massachusetts Secretary of State’s Securities Division (the "Securities Division") issued a new final regulation on the use of expert network services.
United States
30 Aug 2011
11
Ropes & Gray’s Investment Management Update: August 2011
On July 26, 2011, the Securities and Exchange Commission ("SEC") adopted a large trader reporting system that will require "large traders" to identify themselves to the SEC and provide the SEC with information about their businesses and their affiliates.
United States
17 Aug 2011
12
SEC Adopts Final Rule For Large Trader Reporting System
On July 26, 2011, the Securities and Exchange Commission ("SEC") adopted a large trader reporting system that will require "large traders" to identify themselves to the SEC and provide the SEC with information about their businesses and their affiliates.
United States
 
16 Aug 2011
13
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
14
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
15
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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