Search
Searching Content indexed under Strategy by Ropes & Gray LLP ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
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
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
4
Investment Management Update: July 2011
On June 22, 2011, the Securities and Exchange Commission ("SEC"), state regulators and the Financial Industry Regulatory Authority ("FINRA") announced that a registered investment adviser and its broker-dealer affiliate, plus two employees.
United States
14 Jul 2011
Links to Result pages
 
1