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Searching Content indexed under Finance and Banking by Ropes & Gray LLP ordered by Published Date Descending.
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1
SEC Adopts Rule Change To Address Funds' Auditor Independence Problem
In a June 18, 2019 release (the "Release"), the SEC adopted amendments to the "Loan Rule" (as defined below), a part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
18 Jul 2019
2
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions: Potential Opportunities For Both Private Funds And Registered Funds
On June 18, 2019, the SEC published its Concept Release on Harmonization of Securities Offering Exemptions (the "Release")
United States
10 Jul 2019
3
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
4
Podcast: Credit Funds: Pro Rata Sharing Provisions – Key Points For Lenders
That's an excellent point, and a good note to end on.
United States
29 May 2019
5
For The First Time CFTC Publishes Enforcement Manual
On May 8, 2019, the Commodity Futures Trading Commission's ("CFTC") Division of Enforcement ("DOE") issued its Enforcement Manual ("Manual")
United States
28 May 2019
6
SEC Proposes Extending Securities Offering Reforms To Closed-End Funds And Business Development Companies
On March 20, 2019, the SEC issued a release containing proposals intended to streamline the registration, communications and offering practices for business development companies
United States
1 May 2019
7
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
8
Prime Minister Confirms That The UK Will Exit The EU Single Market
In a speech made this afternoon, Prime Minister Theresa May confirmed that the UK will leave the European Union (EU) and will not seek membership of the single market.
UK
17 Jan 2017
9
Potential Implications On The Use Of Passporting For Asset Management Firms In A Post-Brexit World
Passporting is a concept that allows a firm to establish in one jurisdiction and obtain a "passport" to provide services in another jurisdiction, either on a cross-border basis or through establishing a branch.
European Union
18 Jul 2016
10
The UK's Referendum On Membership Of The European Union – An Update
This is an update to our Alert published on 24 June 2016 on the result of the UK's Referendum on membership in the European Union ("EU").
UK
5 Jul 2016
11
Brexit – The UK's Decision To Leave The European Union
This note briefly sets out next steps over the coming days, weeks and months and highlights some of the key issues that firms will need to address during this time.
European Union
27 Jun 2016
12
2014 Mutual Funds And Investment Management Conference
Ropes & Gray’s memorandum summarizing the 2014 Mutual Funds and Investment Management Conference sponsored by the ICI is available above.
United States
12 Apr 2014
13
SEC Proposes Reforms For Money Market Funds
The Securities and Exchange Commission voted unanimously to propose significant new reforms for money market funds primarily in response to the risk of runs on MMFs during times of economic stress.
United States
18 Jun 2013
14
Themes Of Change: Key Themes Underlying The September 2012 Changes To The LMA Intercreditor Agreement And Implications For Mezzanine Creditors
As the mezzanine market continues to mature, mezzanine creditors have been seeking enhanced protections in their contractual relationship with senior creditors.
United States
19 Oct 2012
15
NFA Announces Waiver Of Proficiency Exam Requirement In Connection With Certain Swaps Activities
On October 3, 2012, the National Futures Association ("NFA") released a Notice to Members (the "Notice") announcing amendments to NFA Bylaw 301 and Registration Rules 401 and 402, which (1) provide for a swaps exemption from the proficiency examination requirement, and (2) establish a process for designation as a "swaps firm" or "swaps associated person."
United States
9 Oct 2012
16
Second Circuit’s Absolute Activist Decision Further Clarifies Extraterritorial Reach Of U.S. Securities Laws
Last week the Second Circuit provided important clarification on the extraterritorial reach of the U.S. securities laws.
United States
12 Mar 2012
17
Recent Enforcement Actions By SEC’s Asset Management Unit Highlight New Proactive, Analytical Approach
Several enforcement actions announced by the SEC over the past month appear to be the early fruits of several initiatives launched by the SEC Enforcement Division over the past year.
United States
22 Dec 2011
18
Investment Management Update: July 2011
On June 22, 2011, the Securities and Exchange Commission ("SEC"), state regulators and the Financial Industry Regulatory Authority ("FINRA") announced that a registered investment adviser and its broker-dealer affiliate, plus two employees.
United States
14 Jul 2011
19
Ropes & Gray’s Hedge Fund Update: June 2011
Effective July 16, 2011, certain derivatives provisions of the Dodd-Frank Act will become law, including provisions which expand the definition of a "commodity pool" to include a pooled investment vehicle that trades, or may trade, swaps (other than security-based swaps).
United States
 
17 Jun 2011
20
Supreme Court Forecloses Primary Liability For Secondary Actors In Securities Offerings
The Supreme Court today held in "Janus Capital Group, Inc. v. First Derivative Traders" that investors cannot sue a mutual fund’s investment adviser for misrepresentations in a mutual fund prospectus, even though it was alleged to have participated in drafting the disclosure document.
United States
 
16 Jun 2011
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