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Searching Content indexed under Wealth & Asset Management by Ropes & Gray LLP's Asset Management Practice ordered by Published Date Descending.
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SEC Adopts Form CRS (Client Relationship Summary) For Advisers And Broker-Dealers
On a June 5, 2019, the SEC adopted Form CRS ("relationship summary"), along with new and amended rules and forms, to improve retail investors' understanding of the different investment-related
United States
27 Jun 2019
2
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
3
SEC Issues Risk Alert On Adviser Personnel's Use Of Electronic Messaging
On December 14, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert to share its observations from a recent exam initiative.
United States
27 Dec 2018
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