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Searching Content indexed under Financial Services by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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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
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
3
Ropes & Gray's Investment Management Update – February – March 2019
The following summarizes recent legal developments of note affecting the registered fund/investment ...
United States
29 Apr 2019
4
2019 Mutual Funds And Investment Management Conference
Susan M. Olson, General Counsel, Investment Company Institute Ms. Olson noted the wide range of regulatory initiatives during 2018 and so far in 2019 that will impact registered funds and their service providers and shareholders.
United States
17 Apr 2019
5
Ropes & Gray's Investment Management Update – December 2018-January 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
14 Feb 2019
6
SEC Provides Custody Rule No-Action Letter Concerning Adviser's Administrative Services Loan Syndication Business
On December 20, 2018, the SEC staff issued a no-action letter to Madison Capital Funding LLC ("Madison"), a registered investment adviser ...
United States
15 Jan 2019
7
SEC Proposes Changes For Fund Of Funds Arrangements
On December 19, 2018, the SEC issued a release (the "Release") proposing new Rule 12d1-4 and related amendments under the 1940 Act intended to enhance and streamline the regulation of funds that invest in other funds ("fund of funds arrangements").
United States
9 Jan 2019
8
Ropes & Gray's Investment Management Update – August-September 2018
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
17 Oct 2018
9
Ropes & Gray's Investment Management Update – June-July 2018
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
10 Aug 2018
10
SEC Releases Proposed Adviser Conduct Standard And Request For Comment On Enhancing Adviser Regulations
The Adviser Conduct Proposal reaffirms that the Advisers Act fiduciary duty derives from common law principles.
United States
24 Apr 2018
11
Ropes & Gray's Investment Management Update – January 2018
It has been more than a year since Donald Trump's election.
United States
13 Feb 2018
12
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
13
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
14
Ropes & Gray's Investment Management Update: April 2017 – May 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
6 Jun 2017
15
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
16
Ropes & Gray's Investment Management Update: October – November 2016
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
14 Dec 2016
17
SEC Adopts More Frequent And Detailed Fund Holdings Reporting Requirements
With some exceptions, the information in a fund's quarter-end Form N-PORT will be made publicly available by the SEC 60 days after the end of the fund's most recent fiscal quarter.
United States
2 Nov 2016
18
SEC Finalizes Rules Requiring Liquidity Risk Management By Open-End Funds
In an October 13, 2016 release (the "Release"), the SEC adopted Rule 22e-4 (the "Rule") and published new disclosure and data reporting requirements. Most notably:
United States
30 Oct 2016
19
New FINRA Capital Acquisition Broker Rule Set May Be Of Interest To Private Fund Sponsors
Under the rule set, CABs are subject to a streamlined set of conduct and compliance rules in recognition of the limited business activities CABs can undertake.
United States
25 Oct 2016
20
SEC Approves FINRA Rules Addressing "Pay-to-Play" Practices
The Securities and Exchange Commission (the "SEC") recently approved the Financial Industry Regulatory Authority, Inc. ("FINRA") proposal to adopt FINRA Rules 2030 and 4580 ...
United States
21 Oct 2016
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