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Searching Content indexed under Compliance by Ropes & Gray LLP's Hedge Fund Practice Group ordered by Published Date Descending.
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Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization
The SEC's Division of Investment Management recently published a three-page Guidance Update, Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority.
United States
6 Apr 2017
2
Amended FINRA Rule Will Require Margin For TBA Transactions
Both maintenance margin and mark-to-market margin must be posted by the close of business on the business day following the date on which the margin deficiency arises.
United States
12 Jul 2016
3
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
4
SEC Issues Guidance Regarding New General Solicitation Rules
On November 13, 2013, the Division of Corporation Finance of the Securities and Exchange Commission issued new Compliance and Disclosure Interpretations providing guidance regarding new rules allowing for general solicitation in private offerings.
United States
20 Nov 2013
5
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
6
SEC Adviser Examinations Focus On Custody Rule Compliance
The SEC’s Office of Compliance Inspections and Examinations ("OCIE") found that approximately one-third of recent examinations that identified significant deficiencies involved custody-related issues.
United States
10 Mar 2013
7
Hedge Fund Update: August 2011
The following summarizes recent legal developments of note affecting the hedge fund industry:
United States
6 Sep 2011
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