Searching Content indexed under Financial Services by Ropes & Gray LLP's Hedge Fund Practice Group ordered by Published Date Descending.
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New FINRA Capital Acquisition Broker Rule Set May Be Of Interest To Private Fund Sponsors
Under the rule set, CABs are subject to a streamlined set of conduct and compliance rules in recognition of the limited business activities CABs can undertake.
United States
25 Oct 2016
SEC Approves FINRA Rules Addressing "Pay-to-Play" Practices
The Securities and Exchange Commission (the "SEC") recently approved the Financial Industry Regulatory Authority, Inc. ("FINRA") proposal to adopt FINRA Rules 2030 and 4580 ...
United States
21 Oct 2016
FCA Proposals To Extend Reporting Requirements For Non-EU AIFMS
The FCA recently released its quarterly consultation Paper (No. 13) which is published to consult on amendments the FCA Handbook.
European Union
18 Jul 2016
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
Update: Proposed Rules Will Limit Buy-Side Remedies In A Financial Institution Failure
The Board of Governors of the Federal Reserve System (the "Board") has proposed rules (the "Proposed Rules") the-counter derivatives, repurchase agreement and securities lending transactions.
United States
16 May 2016
SEC Proposes New Rule Concerning Registered Funds' Use Of Derivatives
On December 11, 2015, the SEC issued its long-anticipated release (the "Release") proposing Rule 18f-4 ("the "Proposed Rule") under the 1940 Act regarding the use of derivatives and certain related instruments by registered investment companies (collectively, "funds").
United States
11 Jan 2016
Common Reporting Standards Come Into Effect For Many Offshore Funds On January 1, 2016
The first exchange of information with respect to certain accounts is expected to take place in 2017.
30 Dec 2015
Gramm-Leach-Bliley Act Amendment Eliminates Annual Privacy Notice Requirement For Many Advisers And Funds
On December 4, 2015, President Obama signed into law the nearly 500-page Fixing America's Surface Transportation Act, which included an amendment of the consumer privacy provisions within the Gramm-Leach-Bliley Act.
United States
16 Dec 2015
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
While the Final Margin Rules do not apply directly to buy-side entities, they will have a material impact on buy-side entities who use uncleared derivatives.
United States
3 Nov 2015
BEA Releases New BE-180 Form And Related Guidance In Advance Of Upcoming Deadline
In late August, the BEA released the new BE-180 form and instructions for the 2014 survey, which is due as early as November 1, 2015 (subject to certain extensions). BE-180 is a 5-year benchmark survey.
United States
18 Sep 2015
FinCEN Rule Proposes AML Regulations For Registered Investment Advisers
On August 25, the Financial Crimes Enforcement Network ("FinCEN") proposed an anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange Commission (the "SEC").
United States
28 Aug 2015
Upcoming Deadline For BEA Foreign Affiliate Reporting On BE-10
The U.S. Department of Commerce, through the Bureau of Economic Analysis (the "BEA"), requires reporting on Form BE-10 (a "BE-10 Filing") from any U.S. person (including entities or individuals) that had a "Foreign Affiliate" (as defined below) at any point during the U.S. person's 2014 fiscal year.
United States
9 May 2015
Reminder Regarding Upcoming FATCA Deadline And Implications For Trading Agreements
The effective date under the Foreign Account Tax Compliance Act ("FATCA") for withholding agents to begin withholding on certain U.S. source payments made to foreign financial institutions ("FFIs") and non-financial foreign entities ("NFFEs") is July 1, 2014 ..
United States
1 May 2014
Update Regarding Trade Execution Mandate For Certain Interest Rate Swaps
The Commodity Futures Trading Commission ("CFTC") Division of Market Oversight (the "Division") announced yesterday that Javelin SEF, LLC’s ("Javelin") self-certification of available-to-trade determinations ("MAT Determinations") for certain benchmark interest rate swap contracts is deemed certified.
United States
17 Jan 2014
The SEC Proposes Rules To Remove Prohibitions On General Solicitation And General Advertising In Certain Regulation D Offerings
The Jumpstart Our Business Startups Act enacted on April 5, 2012 (the "JOBS Act"), directed the SEC to amend Rule 506 of Regulation D.
United States
11 Sep 2012
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