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Searching Content indexed under Financial Services by Ropes & Gray LLP ordered by Published Date Descending.
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1
Podcast: Credit Funds: Replacing LIBOR – Steps To Consider Taking Now
In this podcast, Jill Kalish Levy and Joel Wattenbarger discuss the impending cessation of LIBOR at the end of 2021 and its proposed replacement, SOFR, and how they differ.
United States
14 Jun 2019
2
Cyber-Attacks (Asset-Freezing) Regulations 2019
On 11 June 2019, the Cyber-Attacks (Asset-Freezing) Regulations 2019 (SI 2019/956) (the "U.K. Regulations")
UK
12 Jun 2019
3
Ropes & Gray's Investment Management Update – April-May 2019
The following summarizes recent legal developments of note affecting the registered fund/investment management industry
United States
11 Jun 2019
4
A Fresh Look At Exclusive Forum Provisions
One common feature of large M&A transactions is the almost inevitable stockholder litigation challenging the transaction.
United States
11 Jun 2019
5
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
6
For The First Time CFTC Publishes Enforcement Manual
On May 8, 2019, the Commodity Futures Trading Commission's ("CFTC") Division of Enforcement ("DOE") issued its Enforcement Manual ("Manual")
United States
28 May 2019
7
Guidance On Tax Incentives For Investments In Qualified Opportunity Zones
On April 17, 2019, the Treasury Department and the Internal Revenue Service ("IRS")
United States
27 May 2019
8
Converting Traditional Open-End Funds into ETFs
The Securities and Exchange Commission (the "SEC") recently published a notice relating to an application for exemptive relief filed by Precidian
United States
27 May 2019
9
FCA 2019/20 Business Plan Released Highlighting Conduct Supervision And Financial Crime As Key Focus
The Financial Conduct Authority ("FCA") has released its business plan for 2019/20, in which it sets out its areas of focus for the coming year, and outlines how it proposes to respond to issues it has identified.
United States
14 May 2019
10
NFA Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam requirement
United States
10 May 2019
11
Podcast: Credit Funds: 1940 Act Interval Funds
Agreed Dave – interval funds are definitely a vehicle worth exploring.
United States
3 May 2019
12
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
13
Ropes & Gray's Investment Management Update – February – March 2019
The following summarizes recent legal developments of note affecting the registered fund/investment ...
United States
29 Apr 2019
14
Technology Service Provider Contracts With Banks
Mindful of the growing reliance by financial institutions on technology service providers, the FDIC issued a Financial Institution Letter this week identifying gaps, particularly involving business continuity...
United States
23 Apr 2019
15
2019 Mutual Funds And Investment Management Conference
Susan M. Olson, General Counsel, Investment Company Institute Ms. Olson noted the wide range of regulatory initiatives during 2018 and so far in 2019 that will impact registered funds and their service providers and shareholders.
United States
17 Apr 2019
16
SEC Scrutinizes Sale Of Mortgage Interests Among Affiliated Funds
The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission ("SEC").
United States
15 Apr 2019
17
Supreme Court Expands Scope Of Liability For Securities Fraud
On March 27, 2019, the U.S. Supreme Court issued a 6-2 decision in Lorenzo v. SEC holding that an individual who is not a "maker" of a misstatement under Janus v. First Derivative Traders,
United States
11 Apr 2019
18
CFTC Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam ...
United States
8 Apr 2019
19
Investment Firms Post-Brexit: EU Provisionally Agrees To Regulatory Supervision Framework
EU policy makers recently reached a provisional agreement on a package of measures, which may tighten UK financial services firms' access to EU clients when Britain leaves the EU...
European Union
25 Mar 2019
20
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
This Ropes & Gray podcast series highlights developments in Washington, D.C., affecting private funds and their legal, regulatory and compliance obligations.
United States
21 Mar 2019
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