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Searching Content indexed under Fund Management/ REITs by Ropes & Gray LLP ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
Ropes & Gray's Investment Management Update: March – 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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