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You are here: Regulated Investment Company Modernization Act of 2010

ropesgraylogoInvestment Management Update: August 2013 - September 2013

Ropes & Gray
September 30, 2013
9 pages

In this Issue:

  • Adviser’s Statements During 15(c) Process Provide Basis for SEC Enforcement Action
  • Portfolio Manager Sanctioned for Misleading CCO
  • CFTC Grants No-Action Relief Regarding CFTC Regulations 4.27(c) and 4.22(c) to Commodity Pool Operators (“CPOs”) of Controlled Foreign Subsidiaries (“CFCs”) of Registered Investment Companies
  • SEC Issues FAQ Regarding Form 13F Filings
  • EU Proposes Regulation of Money Market Funds
  • SEC Sanctions Two Dually Registered Investment Advisers and Broker-Dealers for Best Execution Violations
  • PCAOB Proposes Changes to Auditor’s Reports
  • SEC Adopts Final Rule for Registration of Municipal Advisors
An analysis of the Regulated Investment Company Modernization Act of 2010

Dechert
January 2011

Please see our Hot Topics for more on this subject.

Congress Changes Tax Rules Governing Regulated Investment Companies

Stroock
January 18, 2011

Please see our Hot Topics for more on this subject.