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Searching Content indexed under Commodities/Derivatives/Stock Exchanges 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: April 2017 – May 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
6 Jun 2017
4
CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required
The U.S. Commodity Futures Trading Commission (the "CFTC") has issued amended aggregation rules for determining compliance with speculative position limits established by the CFTC in futures contracts and options thereon.
United States
14 Jan 2017
5
SEC Streamlines Exchange Listings For Actively Managed ETFs
Most new index ETFs qualify for expedited listing under generic listing standards that have been available to the various listing exchanges for more than a decade.
United States
8 Aug 2016
6
Update: Proposed Rules Will Limit Buy-Side Remedies In A Financial Institution Failure
The Board of Governors of the Federal Reserve System (the "Board") has proposed rules (the "Proposed Rules") the-counter derivatives, repurchase agreement and securities lending transactions.
United States
16 May 2016
7
Ropes & Gray's Investment Management Update: February – March 2016
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.
United States
14 Apr 2016
8
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
While the Final Margin Rules do not apply directly to buy-side entities, they will have a material impact on buy-side entities who use uncleared derivatives.
United States
3 Nov 2015
9
SEC Proposes Amendments To Form ADV And Recordkeeping Rule
In late May, the Securities and Exchange Commission (the "SEC") proposed rules that would amend portions of Form ADV and rules promulgated under the Investment Adviser Act of 1940 (the "Advisers Act").
United States
2 Jun 2015
10
Ropes & Gray’s Investment Management Update: February 2015 – March 2015
In 2014, the SEC and FINRA separately conducted sweep exams to increase their understanding of the cybersecurity threats faced by investment advisers and broker-dealers.
United States
1 Apr 2015
11
Investment Management Update: December 2013-January 2014
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
3 Feb 2014
12
Update Regarding Trade Execution Mandate For Certain Interest Rate Swaps
The Commodity Futures Trading Commission ("CFTC") Division of Market Oversight (the "Division") announced yesterday that Javelin SEF, LLC’s ("Javelin") self-certification of available-to-trade determinations ("MAT Determinations") for certain benchmark interest rate swap contracts is deemed certified.
United States
17 Jan 2014
13
Second Circuit Ruling Strictly Enforces Time Limits On Securities Class Action Claims
The Court of Appeals for the Second Circuit recently ruled last week that litigation time limits known as "statutes of repose" are not "tolled" or extended by the fact that a would-be plaintiff holding an alleged claim is an unnamed class member in a pending securities class action.
United States
2 Jul 2013
14
D.C. District Court Rejects Challenge To CFTC Rule 4.5 Amendments
On December 12, 2012, the U.S. District Court for the District of Columbia dismissed a lawsuit challenging recent amendments to Rule 4.5 (the "Amended Rule") promulgated by the Commodity Futures Trading Commission (the "CFTC") under the Commodity Exchange Act
United States
20 Dec 2012
15
Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps And Certain Foreign Exchange Forwards From The Definition Of "Swap"
On November 16, 2012, the United States Department of the Treasury (the "Treasury Department") issued a final determination (the "Final Determination") regarding the treatment of foreign exchange swaps and certain foreign exchange forwards under the Commodity Exchange Act (the "CEA").
United States
22 Nov 2012
16
CFTC Staff Responds To Frequently Asked Questions On CTA And CPO Registration And Compliance
On August 14, 2012, the Commodity Futures Trading Commission ("CFTC") Staff released guidance entitled "Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions – CPO/CTA: Amendments to Compliance Obligations," which discusses various compliance obligations of commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") (the "Guidance").
United States
22 Aug 2012
17
CFTC Proposes to Require Mandatory Clearing of Certain Interest Rate Swaps and Credit Default Index Swaps
On July 24, 2012, the CFTC issued proposed rules that would require certain interest rate swaps and credit default index swaps to be cleared.
United States
26 Jul 2012
18
CFTC Rescinds And Revises Hedge Fund Registration Exemptions And Adds Reporting Requirements
The Commodity Futures Trading Commission ("CFTC") recently announced final rules rescinding or revising registration exemptions for private funds, and revising the exclusion for registered investment companies.
United States
20 Feb 2012
19
CFTC Adopts Final Swap Recordkeeping And Reporting Rules
The minimum size of block trades and the time delay before dissemination of information regarding block trades has been the subject of much concern, because public reporting of a large transaction immediately following execution could have an adverse impact on the ability of a party to the transaction to enter into offsetting transactions to hedge its exposure.
United States
23 Jan 2012
20
Ropes & Gray's Investment Management Update - September 2011
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.
United States
22 Sep 2011
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