Search
Searching Content indexed under Investment Strategy by Ropes & Gray LLP ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
2
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
3
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
4
SEC Approves U.S. Master Fund/Foreign Feeder Fund Arrangement – Section 12(d)(1)(E)
Section 12(d)(1)(E) provides an exemption from Sections 12(d)(1)(A) and (B)'s investment limitations, subject to certain conditions.
United States
5 Apr 2017
5
Ropes & Gray’s Investment Management Update: March-April 2012
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
26 Apr 2012
6
Congress Passes JOBS Act
On March 27, 2012, Congress passed the Jumpstart Our Business Startups Act, H.R. 3606, as amended (the "JOBS Act"). President Obama is expected to sign the bill shortly.
United States
10 Apr 2012
7
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
8
Expanding The Market Abuse Regime For European Securities And Investments - What Impact For Investment Managers?
The European Commission has published legislative proposals for a new Market Abuse Directive (the "New Directive") and a new Market Abuse Regulation ("MAR") to replace the current Market Abuse Directive ("MAD") which underpins the laws on insider dealing and market manipulation throughout the European Union ("EU").
European Union
3 Nov 2011
9
SEC Adopts Reporting Obligations For Advisers To Private Funds On New Form PF
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 204(b)-1 under the Investment Advisers Act of 1940 (the "Advisers Act") requiring periodic reporting by private fund managers on new Form PF.
United States
3 Nov 2011
10
Ropes & Gray’s Investment Management Update: October 2011
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
25 Oct 2011
11
Ropes & Gray’s Investment Management Update: August 2011
On July 26, 2011, the Securities and Exchange Commission ("SEC") adopted a large trader reporting system that will require "large traders" to identify themselves to the SEC and provide the SEC with information about their businesses and their affiliates.
United States
17 Aug 2011
12
Investment Management Update: July 2011
On June 22, 2011, the Securities and Exchange Commission ("SEC"), state regulators and the Financial Industry Regulatory Authority ("FINRA") announced that a registered investment adviser and its broker-dealer affiliate, plus two employees.
United States
14 Jul 2011
13
SEC Adopts Rules To Implement The Private Fund Investment Advisers Registration Act
On June 22, 2011, the Securities and Exchange Commission ("SEC") adopted rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
28 Jun 2011
14
Application Of The Investment Advisers Act To Private Equity Advisers - Part 2
A registered investment adviser must adopt and implement procedures reasonably designed to ensure that it votes proxies on behalf of its clients in the best interests of its clients.
United States
3 May 2011
15
Application Of The Investment Advisers Act To Private Equity Advisers - Part 1
Under the Investment Advisers Act, as amended by the Dodd-Frank Act, most investment advisers to private equity funds will be required to register with the SEC and comply with the Advisers Act, including many provisions not designed for their business model.
United States
3 May 2011
16
Effects Of The Federal Government Shutdown On Investment Companies And Advisers Registered With The Securities And Exchange Commission
Without the passage of a fiscal year 2011 appropriations bill or another continuing resolution, the federal government will "shut down"; on April 9, 2011.
United States
21 Apr 2011
17
SEC Proposes To Remove Credit Ratings References From Money Market Fund Rule
In order to implement Sections 939 and 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Securities and Exchange Commission (the "SEC") has proposed amendments to several rules and forms under the Investment Company Act of 1940 (the "Investment Company Act") and the Securities Act of 1933 (the "Securities Act") in order to remove key references to credit ratings.
United States
17 Mar 2011
18
Fed Adopts Final Rule For Conformity With The Volcker Rule
On Wednesday, February 9, 2011, the Board of Governors of the Federal Reserve System (the "Board") announced its adoption of a final rule concerning the period of time that banking entities and nonbank financial companies supervised by the Board have to comply with the new section 13 (the "Volcker Rule") of the Bank Holding Company Act of 1956 (the "BHC"), as added by Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
23 Feb 2011
19
SEC Proposes Rules to Implement the Private Fund Investment Advisers Registration Act
On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
7 Dec 2010
Links to Result pages
 
1