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Searching Content indexed under Shareholders by Ropes & Gray LLP ordered by Published Date Descending.
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1
Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
2
Second Circuit Finds An Implied Private Right Of Action Under The Investment Company Act, Departing From The Third Circuit And Other Courts
The Second Circuit concluded in Oxford University Bank v. Lansuppe Feeder, Inc. that Congress' intent in enacting Section 47(b) was to grant contracting parties a right to sue for rescission of a contract that allegedly violates the ICA. In recent years,
United States
14 Aug 2019
3
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
4
UK Take Private Opportunities For US Funds
Many would have thought that potential UK public to private activity would have remained subdued given the regulatory framework implemented following Kraft/Cadbury and the macro headwinds of high
Worldwide
30 Jan 2019
5
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
6
ISS And Glass Lewis Update Their Proxy Voting Guidelines For The 2019 Proxy Season
Institutional Shareholder Services Inc. (ISS) and Glass, Lewis & Co. (Glass Lewis) have both released updates to their proxy voting guidelines
United States
4 Dec 2018
7
SEC Staff Issues New Guidance On Shareholder Proposals
SLB 14J also provides additional guidance on proposals that implicate senior executive and/or director compensation.
United States
29 Oct 2018
8
Declining To Follow Northstar, New York Federal Court Dismisses Breach Of Contract Claim Against Mutual Fund For Purported Violation Of Concentration Policy
In addition to rejecting the plaintiffs' contract claim, the Court also ruled that they failed to allege that the Fund's concentration policy was violated.
United States
25 Oct 2018
9
After 10 Years Of Litigation, Ninth Circuit Dismisses Northstar V. Schwab Class Action
On September 14, 2018, the United States Court of Appeals for the Ninth Circuit put an end to the long-running Northstar Financial Advisors v. Schwab Investments class action.
United States
24 Sep 2018
10
Proposed ETF Rule Seeks To Expand The ETF Market And Streamline The Requirements For Launching And Operating ETFs
As expected, the proposed ETF rule (the "Rule") codifies many aspects of the exemptive relief necessary to form and operate an ETF.
United States
6 Jul 2018
11
SEC Adopts Rule Permitting Notice-And-Access "Delivery" Of Shareholder Reports
In a June 5, 2018 Release (the "Release"), the SEC adopted new Rule 30e-3 under the 1940 Act (the "Rule").
United States
27 Jun 2018
12
DOL Publishes Guidance On ESG Investment Considerations By Retirement Plans – Takeaways For Managers, Plan Sponsors And Public Companies
The Government Accountability Office has indicated that it will soon be issuing a report on how retirement plans should handle ESG investments.
United States
8 May 2018
13
Supreme Court Holds State Courts May Continue To Hear Certain Federal Securities Claims
On March 20, 2018, the Supreme Court held that shareholders may pursue securities class actions alleging false or misleading prospectuses in either state or federal court.
United States
23 Mar 2018
14
SEC Staff Issues First No-Action Letter Under "Economic Relevance" Exclusion Following Updated Guidance
On February 22, 2018, the staff of the SEC's Division of Corporation Finance issued a favorable no-action response to Dunkin' Brands Group, Inc. under Rule 14a-8(i)(5) (the economic relevance exception) ...
United States
26 Feb 2018
15
SEC Issues New Guidance On Several Exclusions Under Rule 14a-8
On November 1, 2017, the SEC's Division of Corporation Finance (the Division) issued Staff Legal Bulletin No. 14I (the SLB) on shareholder proposals.
United States
6 Nov 2017
16
Shareholder Proposal Rule
Keith Higgins, chair of Ropes & Gray's securities & governance practice, examines SEC Rule 14a-8, the shareholder proposal rule.
United States
31 Oct 2017
17
Treasury Issues Report On Capital Markets
On Friday, October 6, the Treasury Department issued a report to the President on streamlining and reforming U.S. capital market regulation.
United States
12 Oct 2017
18
Ropes & Gray's Investment Management Update: April 2017 – May 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
6 Jun 2017
19
ISS And Glass Lewis Update Their Proxy Voting Guidelines For The 2017 Proxy Season
Institutional Shareholder Services Inc. (ISS) and Glass, Lewis & Co. (Glass Lewis) have both released updates to their respective proxy voting guidelines.
United States
30 Nov 2016
20
Recent Proxy Access Developments - November 14, 2016
To date, nearly 300 companies have adopted proxy access bylaws, including over 40% of S&P 500 companies.
United States
15 Nov 2016
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