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Searching Content indexed under Compliance by Ropes & Gray LLP ordered by Published Date Descending.
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SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
2
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
3
Globalizing Your Compliance Program
Multinational companies continue to face intense enforcement scrutiny related to their global compliance practices by oversight authorities worldwide.
United States
8 Feb 2018
4
Risky Business: Mitigating Exposure Through Comprehensive Risk Management
Ropes & Gray is pleased to share "Risky Business," a comprehensive report on trends and best practices in risk management. Based on a survey by FT Remark, a research service from...
United States
26 Sep 2017
5
Reminder On CEO Pay Ratio Disclosure For 2018
Beginning in 2018, most public companies will be required to include CEO pay ratio disclosure in their proxy statements.
United States
17 Jul 2017
6
The SEC’s 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
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