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Searching Content indexed under Wealth & Asset Management by Ropes & Gray LLP ordered by Published Date Descending.
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1
Court Rejects Mutual Fund Excessive Fee Claims Following Trial, Recognizing Important Fund Industry Market Conditions
In a decisive August 5 ruling that could be the final nail in the coffin for plaintiffs' efforts to compare advisory and subadvisory fees, a federal court in the Central District of California rejected claims of excessive mutual fund fees ...
United States
8 Aug 2019
2
Podcast: Private Fund Regulatory Update – Network And Cloud Storage
Also, they or their private funds may instead have obligations under other similar regulations.
United States
25 Jul 2019
3
Podcast: European Green Finance And Sustainability Proposals – Impact For Asset Managers
Sure, Isabel. Glad to be here discussing this important topic.
European Union
24 Jul 2019
4
Regulatory Rollback: First Set Of Volcker Rule Reforms Finalized
On July 9, 2019, the five federal financial regulatory agencies issued a final rule (the "Rule") to, inter alia, revise the Volcker Rule's name-sharing restrictions applicable to bank-affiliated hedge
United States
19 Jul 2019
5
EU Adopts New Rules On Marketing Investment Funds
The EU has now adopted supplementary rules on how funds are marketed to professional investors in the EU that the European Parliament voted on in April this year.
United States
8 Jul 2019
6
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
7
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
8
SEC Releases Final Interpretation On Adviser Conduct Standard And Fiduciary Duty
On June 5, 2019, the SEC held an open meeting and issued a long-awaited final interpretation entitled "Commission Interpretation Regarding Standard of Conduct for Investment Advisers"
United States
24 Jun 2019
9
Podcast: ERISA Plan Sponsors, ESG And The April 2019 Executive Order On Promoting Energy Infrastructure
Well, the executive order is primarily intended to promote private investment in domestic energy infrastructure and its broader then just these retirement issues.
United States
15 May 2019
10
FCA 2019/20 Business Plan Released Highlighting Conduct Supervision And Financial Crime As Key Focus
The Financial Conduct Authority ("FCA") has released its business plan for 2019/20, in which it sets out its areas of focus for the coming year, and outlines how it proposes to respond to issues it has identified.
United States
14 May 2019
11
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
12
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
13
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
14
IRS Makes Cryptocurrency A Compliance Priority
The Internal Revenue Service (IRS) and other global taxing authorities are continuing to focus on bringing taxpayers who hold cryptocurrencies into compliance.
United States
13 Feb 2019
15
Podcast: Keeping Up With Recent Changes And Trends In Private Fund Regulation
This Ropes & Gray podcast series, which we expect to update periodically, will highlight developments in Washington, D.C. that affect private funds and their legal, regulatory and compliance obligations.
United States
22 Jan 2019
16
SEC Provides Custody Rule No-Action Letter Concerning Adviser's Administrative Services Loan Syndication Business
On December 20, 2018, the SEC staff issued a no-action letter to Madison Capital Funding LLC ("Madison"), a registered investment adviser ...
United States
15 Jan 2019
17
SEC Proposes Changes For Fund Of Funds Arrangements
On December 19, 2018, the SEC issued a release (the "Release") proposing new Rule 12d1-4 and related amendments under the 1940 Act intended to enhance and streamline the regulation of funds that invest in other funds ("fund of funds arrangements").
United States
9 Jan 2019
18
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
19
Happy New Year: Proposed Volcker Rule Regulation Would Ease Hedge Fund And Private Equity Fund Name-Sharing Restrictions
The Economic Growth, Regulatory Relief, and Consumer Protection Act ("EGRRCPA"), enacted on May 24, 2018, amended section 13 of the Bank Holding Company Act.
United States
8 Jan 2019
20
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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