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Separately Managed Accounts – SEC Resolves One "Inadvertent Custody" Ambiguity
On June 5, 2018, the SEC's Division of Investment Management supplemented its Staff Responses to Questions About the Custody Rule to respond to a significant ambiguity in its prior custody guidance ...
United States
14 Jun 2018
Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization
The SEC's Division of Investment Management recently published a three-page Guidance Update, Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority.
United States
6 Apr 2017
CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required
The U.S. Commodity Futures Trading Commission (the "CFTC") has issued amended aggregation rules for determining compliance with speculative position limits established by the CFTC in futures contracts and options thereon.
United States
14 Jan 2017
New FINRA Capital Acquisition Broker Rule Set May Be Of Interest To Private Fund Sponsors
Under the rule set, CABs are subject to a streamlined set of conduct and compliance rules in recognition of the limited business activities CABs can undertake.
United States
25 Oct 2016
SEC Approves FINRA Rules Addressing "Pay-to-Play" Practices
The Securities and Exchange Commission (the "SEC") recently approved the Financial Industry Regulatory Authority, Inc. ("FINRA") proposal to adopt FINRA Rules 2030 and 4580 ...
United States
21 Oct 2016
FCA Proposals To Extend Reporting Requirements For Non-EU AIFMS
The FCA recently released its quarterly consultation Paper (No. 13) which is published to consult on amendments the FCA Handbook.
European Union
18 Jul 2016
SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity And Transition Plans
On June 28, 2016, the SEC published a release (the "Release") proposing new Rule 206(4)-4 under the Advisers Act (the "Proposed Rule").
United States
7 Jul 2016
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
SEC Proposes Incentive-Based Compensation Rule: How To Determine Whether Your Firm Will Be Impacted
The SEC recently released a proposed rule (the "Rule") with respect to the implementation of incentive-based compensation arrangements for certain "covered financial institutions" (which includes investment advisers).
United States
17 May 2016
Ropes & Gray Private Investment Fund Update: January 2016
The SEC recently discussed the developing role of chief compliance officers and emphasized key areas in which chief compliance officers should develop a clear understanding in order to increase their effectiveness.
United States
18 Jan 2016
Common Reporting Standards Come Into Effect For Many Offshore Funds On January 1, 2016
The first exchange of information with respect to certain accounts is expected to take place in 2017.
30 Dec 2015
Gramm-Leach-Bliley Act Amendment Eliminates Annual Privacy Notice Requirement For Many Advisers And Funds
On December 4, 2015, President Obama signed into law the nearly 500-page Fixing America's Surface Transportation Act, which included an amendment of the consumer privacy provisions within the Gramm-Leach-Bliley Act.
United States
16 Dec 2015
Partnership Audit Reform Passed Into Law
On Monday, November 2, President Obama signed the Bipartisan Budget Act of 2015 into law, effecting sweeping changes to the rules governing audits of entities treated as partnerships for U.S. federal income tax purposes.
United States
10 Nov 2015
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
While the Final Margin Rules do not apply directly to buy-side entities, they will have a material impact on buy-side entities who use uncleared derivatives.
United States
3 Nov 2015
SEC's OCIE Risk Alert Announces New Cybersecurity Exam Initiative – Focus Includes Conducting Tests Of Efficacy Of Firm's Procedures And Controls
Following up on last year's cybersecurity sweep exam, the SEC's Office of Compliance Inspections and Examinations issued a new Risk Alert on September 15, 2015, announcing a second round of cybersecurity exams.
United States
21 Sep 2015
BEA Releases New BE-180 Form And Related Guidance In Advance Of Upcoming Deadline
In late August, the BEA released the new BE-180 form and instructions for the 2014 survey, which is due as early as November 1, 2015 (subject to certain extensions). BE-180 is a 5-year benchmark survey.
United States
18 Sep 2015
FinCEN Rule Proposes AML Regulations For Registered Investment Advisers
On August 25, the Financial Crimes Enforcement Network ("FinCEN") proposed an anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange Commission (the "SEC").
United States
28 Aug 2015
Ropes & Gray Private Investment Fund Update: August 2015
In recent remarks, Igor Rozenblit, the head of the Private Funds Unit at the U.S. Securities and Exchange Commission urged advisers preparing for examinations not to be overly focused on the major recurring topics addressed in recent SEC speeches.
United States
5 Aug 2015
SEC Proposes Amendments To Form ADV And Recordkeeping Rule
In late May, the Securities and Exchange Commission (the "SEC") proposed rules that would amend portions of Form ADV and rules promulgated under the Investment Adviser Act of 1940 (the "Advisers Act").
United States
2 Jun 2015
SEC Clarifies "Voting Equity Securities" For Purposes Of The Bad Actor Rules
The Securities and Exchange Commission (the "SEC") recently released additional guidance on the definition of "voting equity securities" as applied to the bad actor disqualification rules under Rule 506(d) of the Securities Act of 1933, as amended (the "Securities Act").
United States
18 May 2015
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