Richard focuses his practice on advising investment management industry clients including mutual funds, investment advisers and banking institutions. His areas of practice include the Investment Company Act of 1940, the Investment Advisers Act and other laws and regulations affecting investment products and services offered by financial services companies. He also regularly works with the firm’s clients on broker-dealer matters, including such areas as FINRA registration, regulation of advertising and sales materials, compliance with books and records requirements, and the preparation of written supervisory procedures.
Prior to joining Ropes & Gray, Richard was the senior managing counsel for the Private Wealth Management Division of Mellon Financial Corporation, where he played a key role in supervising strategic merger and acquisition transactions and the development of new products such as a collective investment fund investing in alternative assets.
- Quoted, “Ropes & Gray Attorneys Discuss the Impact on Private Fund Managers of Final Regulations Under the Volcker Rule,” The Hedge Fund Law Report (March 13, 2014)
- Richard Loewy and Mark Nuccio, “Volcker Rule Final Regulations: The Effect on Private Fund Sponsors and Investors,” (December 2013)
- Richard Loewy and Mark Nuccio, “Basel III: Impact on Asset-Based Lending,” ABF Journal (January/February 2013)
- Richard Loewy and Mark Nuccio, “Basel III: Impact on Equipment Loans & Leases,” Monitor (January/February 2013)