Authors:
Sarah Clinton ,
Susan A. Johnston
, John M. Loder
, Brian D. McCabe , George B. Raine , Adam M. Schlichtmann , Gregory D. Sheehan
, Jeremy C. Smith , David C. Sullivan , James E. Thomas Ropes & Gray’s memorandum summarizing the 2014 Mutual Funds and Investment Management Conference sponsored by the ICI is available above. The Conference included sessions that discussed the following regulatory developments, among others:
- Short-term initiatives of the Securities and Exchange Commission (“SEC”) include potential changes to Form N-SAR and rulemaking relating to money market reform, variable annuity disclosure, target date retirement funds, exchange-traded funds, and say on pay.
- FINRA will conduct a refresh review of its rules, including its advertising rules.
- CFTC rules requiring mandatory clearing of non-deliverable FX forwards and options are expected to be proposed in May.
- The SEC will conduct a national sweep exam of alternative funds, beginning this summer, that initially will target 15-20 fund complexes and will focus on compliance, liquidity, leverage, and board oversight.
If you would like to discuss a specific session, or any other aspect of the conference, please contact any of the lawyers listed on the back cover of the memorandum or the Ropes & Gray lawyer with whom you regularly work.
Authors
Stay Up To Date with Ropes & Gray
Subscribe to Our Podcast
Ropes & Gray attorneys provide timely analysis on legal developments, court decisions and changes in legislation and regulations.
Follow Us on Social
Stay in the loop with all things Ropes & Gray, and find out more about our people, culture, initiatives and everything that’s happening.
Join Our Mailing List
We regularly notify our clients and contacts of significant legal developments, news, webinars and teleconferences that affect their industries.