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Searching Content indexed under Financial Services by Ropes & Gray LLP ordered by Published Date Descending.
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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
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
8
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
9
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
10
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
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