Search
Searching Content indexed under Financial Services by Ropes & Gray LLP's Asset Management Practice ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
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
2
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
3
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
4
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
5
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
6
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
7
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.
Worldwide
2 Sep 2016
8
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
Links to Result pages
 
1