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SEC Staff Issues Risk Alert on ESG Investing

On April 9, 2021, the SEC Division of Examinations (the “Division”) issued a Risk Alert “to highlight observations from recent exams of investment advisers, registered investment companies, and private funds offering [environmental, social, and governance (‘ESG’)] products and services” (collectively, “firms”).

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2021 Mutual Funds and Investment Management Conference

Practices: Asset Management, Investment Management, Registered Funds

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Ropes & Gray’s memorandum summarizing the 2021 Mutual Funds and Investment Management Conference sponsored by the Investment Company Institute and the Federal Bar Association is available here. The Conference included sessions that discussed the following industry and regulatory developments, among others:

  • Keynote Remarks by ICI President and CEO, Eric J. Pan & SEC Acting Chair Allison Herren Lee.
  • Recently adopted regulations under the 1940 Act including the Valuation, Fund of Funds and Derivatives Rules.
  • The SEC’s examination and enforcement focus areas under the new administration.
  • Industry issues under current work-from-home orders and eventual re-opening.
  • A review of developments in mutual fund civil litigation.
  • Board practices and regulatory developments affecting fund directors.

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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