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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 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
2
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
3
New FCA Regime Will Emphasize Individual Accountability
From Dec. 9, 2019, all Financial Conduct Authority solo-regulated firms, as well as European Economic Area and third-country branches will be subject to the Senior Managers and
United States
5 Jul 2019
4
UK Financial Services Regulators Lay Down A Marker On Money Laundering In The Capital Markets
In a report published on 10 June, the Financial Conduct Authority has set out its assessment of the money laundering risks and vulnerabilities in the capital markets.
UK
1 Jul 2019
5
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
6
IOSCO Report Underlines Cyber-Risk Standards For Financial Services Firms
Reflecting its ever-increasing importance on regulators' lists of priorities, the Board of International Organization of Securities Commissions ("IOSCO")...
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
Podcast: Credit Funds: Replacing LIBOR – Steps To Consider Taking Now
In this podcast, Jill Kalish Levy and Joel Wattenbarger discuss the impending cessation of LIBOR at the end of 2021 and its proposed replacement, SOFR, and how they differ.
United States
14 Jun 2019
9
Cyber-Attacks (Asset-Freezing) Regulations 2019
On 11 June 2019, the Cyber-Attacks (Asset-Freezing) Regulations 2019 (SI 2019/956) (the "U.K. Regulations")
UK
12 Jun 2019
10
Ropes & Gray's Investment Management Update – April-May 2019
The following summarizes recent legal developments of note affecting the registered fund/investment management industry
United States
11 Jun 2019
11
A Fresh Look At Exclusive Forum Provisions
One common feature of large M&A transactions is the almost inevitable stockholder litigation challenging the transaction.
United States
11 Jun 2019
12
Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
13
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
14
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
15
Guidance On Tax Incentives For Investments In Qualified Opportunity Zones
On April 17, 2019, the Treasury Department and the Internal Revenue Service ("IRS")
United States
27 May 2019
16
Converting Traditional Open-End Funds into ETFs
The Securities and Exchange Commission (the "SEC") recently published a notice relating to an application for exemptive relief filed by Precidian
United States
27 May 2019
17
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
18
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
19
Podcast: Credit Funds: 1940 Act Interval Funds
Agreed Dave – interval funds are definitely a vehicle worth exploring.
United States
3 May 2019
20
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
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