Recommended Alerts

Sign Up For Alerts

Ropes & Gray’s Investment Management Update October–November 2020

Since our last IM Update, the SEC finalized rulemakings concerning the framework for fund fair valuation practices, funds’ use of derivatives and fund of funds arrangements.

Read More

2014 Mutual Funds and Investment Management Conference

Time to Read: 1 minutes Practices: Investment Management

Printer-Friendly Version

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.

Printer-Friendly Version

Cookie Settings