Searching Content indexed under Securities by Ropes & Gray LLP ordered by Published Date Descending.
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Credit Funds Report – The Road Ahead: Driving Success In 2020
The private credit industry grew by leaps and bounds over the past decade: AUM jumped to $769 billion as of June 2018, from $275 billion in 2009.
United States
14 Oct 2019
SEC Adopts Rule Change To Address Funds' Auditor Independence Problem
In a June 18, 2019 release (the "Release"), the SEC adopted amendments to the "Loan Rule" (as defined below), a part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
18 Jul 2019
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions: Potential Opportunities For Both Private Funds And Registered Funds
On June 18, 2019, the SEC published its Concept Release on Harmonization of Securities Offering Exemptions (the "Release")
United States
10 Jul 2019
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
SEC Releases Final Interpretation On Adviser Conduct Standard And Fiduciary Duty
On June 5, 2019, the SEC held an open meeting and issued a long-awaited final interpretation entitled "Commission Interpretation Regarding Standard of Conduct for Investment Advisers"
United States
24 Jun 2019
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
SEC Proposes To Expand "Test-The-Waters" Modernization Reform To All Issuers
On February 19, 2019, the SEC proposed new rule 163B under the Securities Act of 1933 that would permit all issuers to engage in "test-the-waters" communications with qualified institutional buyers...
United States
7 Mar 2019
SEC Staff Grants No-Action Relief On Shareholder Proposal Relating To Mandatory Arbitration
On February 11, 2019, the SEC's Division of Corporation Finance issued a no-action letter to Johnson & Johnson, stating that it would not recommend enforcement action if the company excluded from its proxy statement...
United States
21 Feb 2019
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
SEC Announces 2018 Examination Priorities
The National Examination Program, which is administered by the SEC's Office of Compliance Inspections and Examinations ("OCIE"), recently published its Examination Priorities for 2018 (the "2018 Exam Priorities").
United States
19 Feb 2018
The UK's Referendum On Membership Of The European Union – An Update
This is an update to our Alert published on 24 June 2016 on the result of the UK's Referendum on membership in the European Union ("EU").
5 Jul 2016
SEC Charges Underwriter And Bankers In Connection With Offering By China-Based Issuer
On March 27, 2015, the U.S. Securities and Exchange Commission announced charges against an investment bank and two of its bankers for failing to adequately review and escalate a due diligence report.
United States
1 Apr 2015
SEC Proposes Reforms For Money Market Funds
The Securities and Exchange Commission voted unanimously to propose significant new reforms for money market funds primarily in response to the risk of runs on MMFs during times of economic stress.
United States
18 Jun 2013
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