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Searching Content indexed under Financial Services by Ropes & Gray LLP 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
Second Circuit Finds An Implied Private Right Of Action Under The Investment Company Act, Departing From The Third Circuit And Other Courts
The Second Circuit concluded in Oxford University Bank v. Lansuppe Feeder, Inc. that Congress' intent in enacting Section 47(b) was to grant contracting parties a right to sue for rescission of a contract that allegedly violates the ICA. In recent years,
United States
14 Aug 2019
3
CFTC Staff Extends No-Action Relief From Certain Position Aggregation Requirements
The U.S. Commodity Futures Trading Commission's (the "CFTC") Division of Market Oversight recently issued CFTC Letter No. 19-19, which extends until August 12, 2022
United States
13 Aug 2019
4
Senator Chuck Grassley Presses Comptroller General To Investigate Foreign Threats To Taxpayer-Funded Research
On Tuesday, Senate Finance Committee Chairman Chuck Grassley of Iowa sent a letter to the General Accountability Office asking it to examine "how federal agencies implement and oversee conflict-of-interest policies and...
United States
9 Aug 2019
5
Court Rejects Mutual Fund Excessive Fee Claims Following Trial, Recognizing Important Fund Industry Market Conditions
In a decisive August 5 ruling that could be the final nail in the coffin for plaintiffs' efforts to compare advisory and subadvisory fees, a federal court in the Central District of California rejected claims of excessive mutual fund fees ...
United States
8 Aug 2019
6
Data Center Investment Trends
Our global infrastructure is struggling to cope with the pace with which our society is creating, consuming and sharing data. With the rapid growth
United States
2 Aug 2019
7
Recent CFTC Enforcement Action Against Non-U.S. Fund Manager For Violation Of U.S. Position Limits Highlights Traps For Unwary
Recent CFTC Enforcement Action Against Non-U.S. Fund Manager For Violation Of U.S. Position Limits Highlights Traps For Unwary
United States
25 Jul 2019
8
Podcast: European Green Finance And Sustainability Proposals – Impact For Asset Managers
Sure, Isabel. Glad to be here discussing this important topic.
European Union
24 Jul 2019
9
FINRA Provides Supplementary Guidance On Credit For "Extraordinary Cooperation"
On July 11, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-23 (the Notice) "to restate and supplement" existing guidance on the circumstances
United States
22 Jul 2019
10
Regulatory Rollback: First Set Of Volcker Rule Reforms Finalized
On July 9, 2019, the five federal financial regulatory agencies issued a final rule (the "Rule") to, inter alia, revise the Volcker Rule's name-sharing restrictions applicable to bank-affiliated hedge
United States
19 Jul 2019
11
SEC Adopts Rule Change To Address Funds' Auditor Independence Problem
In a June 18, 2019 release (the "Release"), the SEC adopted amendments to the "Loan Rule" (as defined below), a part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
18 Jul 2019
12
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions: Potential Opportunities For Both Private Funds And Registered Funds
On June 18, 2019, the SEC published its Concept Release on Harmonization of Securities Offering Exemptions (the "Release")
United States
10 Jul 2019
13
EU Adopts New Rules On Marketing Investment Funds
The EU has now adopted supplementary rules on how funds are marketed to professional investors in the EU that the European Parliament voted on in April this year.
United States
8 Jul 2019
14
New FCA Regime Will Emphasize Individual Accountability
From Dec. 9, 2019, all Financial Conduct Authority solo-regulated firms, as well as European Economic Area and third-country branches will be subject to the Senior Managers and
United States
5 Jul 2019
15
UK Financial Services Regulators Lay Down A Marker On Money Laundering In The Capital Markets
In a report published on 10 June, the Financial Conduct Authority has set out its assessment of the money laundering risks and vulnerabilities in the capital markets.
UK
1 Jul 2019
16
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
17
IOSCO Report Underlines Cyber-Risk Standards For Financial Services Firms
Reflecting its ever-increasing importance on regulators' lists of priorities, the Board of International Organization of Securities Commissions ("IOSCO")...
United States
27 Jun 2019
18
Joint Audit Committee's Regulatory Alert Potentially Affecting Separately Managed Account IMAs
On May 14, 2019, the Joint Audit Committee (the "JAC"), a representative committee consisting of U.S.
United States
26 Jun 2019
19
Podcast: Credit Funds: Replacing LIBOR – Steps To Consider Taking Now
In this podcast, Jill Kalish Levy and Joel Wattenbarger discuss the impending cessation of LIBOR at the end of 2021 and its proposed replacement, SOFR, and how they differ.
United States
14 Jun 2019
20
Cyber-Attacks (Asset-Freezing) Regulations 2019
On 11 June 2019, the Cyber-Attacks (Asset-Freezing) Regulations 2019 (SI 2019/956) (the "U.K. Regulations")
UK
12 Jun 2019
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