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Searching Content indexed under Charges, Mortgages, Indemnities by Ropes & Gray LLP ordered by Published Date Descending.
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Second Circuitís 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
2
Recent Enforcement Actions By SECís 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
3
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
4
Ropes & Grayís 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
5
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 fundís 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
6
The SECís New Whistleblower Compensation Rules
On May 25, 2011, by a vote of 3 to 2, the SEC approved its whistleblower compensation rules substantially as proposed.
United States
 
6 Jun 2011
7
Potential Extension Of Compliance Date For Private Fund Investment Adviser Registration
The Securities and Exchange Commission (the "SEC") staff indicated today that the SEC is considering extending the compliance date for investment adviser registration for currently unregistered private fund advisers from July 21, 2011 until the first quarter of 2012.
United States
17 May 2011
8
SEC Proposes New Rules On Compensation Committee Independence And Adviser Conflicts
On March 30, 2011, the Securities and Exchange Commission proposed rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 relating to compensation committee membership and adviser conflicts.
United States
 
13 May 2011
9
FDA Chemist Charged With Trading On Confidential Information Related To Drug Approvals
The Securities and Exchange Commission ("SEC") and the Department of Justice ("DOJ") announced on March 29, 2011, that civil and criminal proceedings are being brought against Cheng Yi Liang, a chemist employed by the Food and Drug Administration ("FDA"), for alleged insider trading.
United States
13 May 2011
10
Ropes & Gray's Investment Management Update: March Ė April 2011
SEC Staff Issues No-Action Letters Permitting Registered Investment Companies to Maintain Margin with Clearinghouses or Clearing Members for Certain Credit Default Swaps and Interest Rate Swaps
United States
 
5 May 2011
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