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A step closer towards the new UK capital regime for investment firms

With less than six months to go until the new prudential regime for UK MiFID firms is due to come into effect, the FCA has published its second policy statement.

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2019 Mutual Funds and Investment Management Conference


Time to Read: 1 minutes Practices: Asset Management

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Ropes & Gray’s memorandum summarizing the 2019 Mutual Funds and Investment Management Conference sponsored by the Investment Company Institute and the Federal Bar Association is available above. The Conference included sessions that discussed the following industry and regulatory developments, among others:

  • Keynote Remarks by SEC Director of the Division of Investment Management Dalia Blass & Commissioner Elad Roisman.
  • Near-term initiatives of the SEC that include investor protections and reexamining proxy voting requirements.
  • The SEC’s current examination and enforcement focus areas.
  • Cybersecurity.
  • Liquidity risk management.
  • A review of developments in mutual fund civil litigation.
  • New operational and investment challenges affected by EU regulations.

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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