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Ropes & Gray’s Investment Management Update – April-May 2019

The following summarizes recent legal developments of note affecting the registered fund/investment management industry.

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2014 Mutual Funds and Investment Management Conference


Time to Read: 1 minutes Practices: Investment Management

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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.

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