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Searching Content indexed under Wealth Management by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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SEC Issues Guidance To Clarify Investment Advisers' Proxy Voting Responsibilities And The Treatment Of Proxy Advice Under The Proxy Rules
On August 21, 2019, the SEC published two releases: Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers (the "IA Release") and Commission
United States
30 Aug 2019
2
SEC Provides Custody Rule No-Action Letter Concerning Adviser's Administrative Services Loan Syndication Business
On December 20, 2018, the SEC staff issued a no-action letter to Madison Capital Funding LLC ("Madison"), a registered investment adviser ...
United States
15 Jan 2019
3
SEC Proposes Changes For Fund Of Funds Arrangements
On December 19, 2018, the SEC issued a release (the "Release") proposing new Rule 12d1-4 and related amendments under the 1940 Act intended to enhance and streamline the regulation of funds that invest in other funds ("fund of funds arrangements").
United States
9 Jan 2019
4
Ropes & Gray's Investment Management Update – August-September 2018
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
17 Oct 2018
5
Investment Companies Affected By The Economic Growth, Regulatory Relief, And Consumer Protection Act
President Trump signed the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Growth Act") into law on May 24, 2018.
United States
31 May 2018
6
SEC Issues Guidance On Fund Changes Intended To Simplify Compliance With The Department Of Labor's "Conflict Of Interest" Rule
On December 15, 2016, the SEC's Division of Investment Management issued a Guidance Update titled, Mutual Fund Fee Structures...
United States
29 Dec 2016
7
SEC Issues Notice Of Intention To Grant Application For New Non-Transparent, Actively-Managed "Exchange-Traded Managed Fund"
On November 6, 2014, the SEC issued a notice of intention to grant an application for exemptive relief under the Investment Company Act.
United States
10 Nov 2014
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