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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Ropes & Gray LLP ordered by Published Date Descending.
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1
Joint Audit Committee's Regulatory Alert Potentially Affecting Separately Managed Account IMAs
On May 14, 2019, the Joint Audit Committee (the "JAC"), a representative committee consisting of U.S.
United States
26 Jun 2019
2
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
3
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
4
NFA Announces Waiver Of Proficiency Exam Requirement In Connection With Certain Swaps Activities
On October 3, 2012, the National Futures Association ("NFA") released a Notice to Members (the "Notice") announcing amendments to NFA Bylaw 301 and Registration Rules 401 and 402, which (1) provide for a swaps exemption from the proficiency examination requirement, and (2) establish a process for designation as a "swaps firm" or "swaps associated person."
United States
9 Oct 2012
5
Ropes & Gray's Investment Management Update: March – April 2011
SEC Staff Issues No-Action Letters Permitting Registered Investment Companies to Maintain Margin with Clearinghouses or Clearing Members for Certain Credit Default Swaps and Interest Rate Swaps
United States
 
5 May 2011
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