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Searching Content indexed under Employment and HR by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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Department Of Labor Delays Fiduciary Rule For 60 Days
The final rule should provide some relief to institutions and advisers that have been working towards the original April 10 applicability date.
United States
6 Apr 2017
2
DOL Fiduciary Rule Compliance—SEC Says Brokers Can Impose Their Own Commissions On Sales Of "Clean" Fund Shares
On January 11, 2017, the SEC staff issued a no-action letter (the "Letter") to Capital Research and Management Company in which the staff confirmed that the restrictions of Section 22(d) of the 1940 Act do not apply to a broker-dealer when...
United States
8 Feb 2017
3
DOL Issues Additional Interpretative Guidance On New Fiduciary Rule
On January 13, 2017, the U.S. Department of Labor (the "DOL") issued the second in a planned three-part set of FAQs on its new fiduciary rule.
United States
19 Jan 2017
4
DOL Issues First Interpretative Guidance On New Fiduciary Rule
On October 27, 2016, the U.S. Department of Labor issued the first in a planned three-part set of FAQs on its new fiduciary rule.
United States
2 Nov 2016
5
SEC Announces Dodd-Frank Whistleblower Award For Compliance Professional
On Wednesday, April 22nd, the Securities and Exchange Commission announced that it had awarded approximately $1.5 million to a whistleblower who had served as a compliance officer of the company about which he blew the whistle.
United States
24 Apr 2015
6
Investment Management Update: February 2014 - March 2014
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.
United States
1 Apr 2014
7
Supreme Court Hears Challenges To Health Care Reform
Yesterday, the Supreme Court concluded three days of argument on challenges to the Patient Protection and Affordable Care Act (ACA). President Obama signed the ACA on March 23, 2010, and legal challenges to the landmark federal health care reform law arose almost immediately.
United States
9 Apr 2012
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