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Searching Content indexed under Compliance by Ropes & Gray LLP's Private Investment Funds ordered by Published Date Descending.
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Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization
The SEC's Division of Investment Management recently published a three-page Guidance Update, Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority.
United States
6 Apr 2017
2
SEC Proposes Incentive-Based Compensation Rule: How To Determine Whether Your Firm Will Be Impacted
The SEC recently released a proposed rule (the "Rule") with respect to the implementation of incentive-based compensation arrangements for certain "covered financial institutions" (which includes investment advisers).
United States
17 May 2016
3
Ropes & Gray Private Investment Fund Update: January 2016
The SEC recently discussed the developing role of chief compliance officers and emphasized key areas in which chief compliance officers should develop a clear understanding in order to increase their effectiveness.
United States
18 Jan 2016
4
Private Investment Fund Update: July 2014
SEC recently issued new guidance clarifying what constitutes a "beneficial owner" for purposes of the Bad Actor Rules.
United States
23 Jul 2014
5
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
6
SEC Adviser Examinations Focus On Custody Rule Compliance
The SEC’s Office of Compliance Inspections and Examinations ("OCIE") found that approximately one-third of recent examinations that identified significant deficiencies involved custody-related issues.
United States
10 Mar 2013
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