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Searching Content indexed under M&A/Private Equity by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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Ropes & Gray's Investment Management Update: October – November 2016
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
14 Dec 2016
2
SEC Settles With Private Equity Fund Adviser Charged With Acting As An Unregistered Broker
A private equity fund adviser agreed to settle SEC charges that it engaged in broker activity and charged brokerage fees without registration.
United States
8 Jun 2016
3
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
4
FAQs Regarding Private Equity Firms Launching Registered Funds
Many of our private equity clients have recently asked us about the feasibility of offering their investment strategies through registered fund products.
United States
22 Aug 2012
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