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Searching Content indexed under Fund Management/ REITs by Ropes & Gray LLP's Asset Management Practice ordered by Published Date Descending.
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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
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
4
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
5
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
6
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
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