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Searching Content indexed under Commodities/Derivatives/Stock Exchanges 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
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
3
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
4
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
5
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
6
A Fresh Look At Exclusive Forum Provisions
One common feature of large M&A transactions is the almost inevitable stockholder litigation challenging the transaction.
United States
11 Jun 2019
7
Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
8
For The First Time CFTC Publishes Enforcement Manual
On May 8, 2019, the Commodity Futures Trading Commission's ("CFTC") Division of Enforcement ("DOE") issued its Enforcement Manual ("Manual")
United States
28 May 2019
9
NFA 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 requirement
United States
10 May 2019
10
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
11
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance obligations.
United States
21 Mar 2019
12
CFTC Expands Enforcement Focus To Foreign Corrupt Practices
On March 6, 2019, at the American Bar Association's National Institute on White Collar Crime, James McDonald, head of the U.S. Commodity Future Trading Commission's ("CFTC")
United States
19 Mar 2019
13
Reminder Re Effective Date Of Additional Material Events Reporting Under SEC Rule 15c2-12
Effective as of February 27, 2019, tax-exempt borrowers entering into new continuing disclosure agreements and who also have bank loans, bank purchases of tax-exempt bonds, other private placements...
United States
8 Mar 2019
14
The New Year Rings In New Requirements For NFA Member Asset Managers
In the final weeks of 2018, the National Futures Association ("NFA") issued new requirements applicable to asset managers who are members of the NFA that will take effect in 2019.
United States
14 Jan 2019
15
Ropes & Gray's Investment Management Update – October-November 2018
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
8 Jan 2019
16
Screaming Into A Pit: CFTC Gets Empty Response To Market Manipulation Claims
In an opinion released on November 30, 2018, federal Circuit Judge Richard Sullivan dismissed a lawsuit brought by the U.S. Commodity Futures Trading Commission.
United States
13 Dec 2018
17
New Disclosure Requirements For NFA Members Engaging In Virtual Currency Activities—Action Required
On August 9, 2018, the National Futures Association ("NFA") announced that, effective October 31, 2018, NFA members are required to make additional disclosures in connection with their virtual currency activities ...
United States
14 Aug 2018
18
CME Group's Recent Action Against Asset Manager Underscores The Importance Of Prompt Responses To SRO Inquiries
The recent summary denial by the CME Group, Inc., the financial market company comprised of four exchanges, including CME, CBOT, NYMEX, and COMEX, of an asset manager's access to all CME Group markets, ...
United States
18 Jun 2018
19
CFTC Proposes Interpretation To Address Cryptocurrency Delivery Questions
On December 15, 2017, the U.S. Commodity Futures Trading Commission ("CFTC") issued its proposed interpretation of the term "actual delivery" in the context of virtual currency retail commodity transactions.
United States
9 Feb 2018
20
CFTC Reasserts Its Role In Virtual Currency Regulation With Enforcement Actions And Joint Statement With SEC
The next day, shortly after announcing the charges publicly, the CFTC released a statement with the Securities and Exchange Commission (SEC)...
United States
7 Feb 2018
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