The SEC announced a nine-month filing delay for Form N-PORT, but make sure to read the fine print!
Brian Kapko, Director of Regulatory Reporting Operations for Confluence Technologies, highlights the filing and data challenges the new rules present and how firms can prepare for next June.
E-delivery wound up on the cutting room floor when the SEC finalized the Modernization rules. Is it gone forever or will its proponents will it back to a vote?
With the SEC and FSOC focused on business continuity planning and third-party oversight, the industry must take notice and continue to advance their efforts to enhance their business continuity plans.
With the SEC’s approval of the reporting modernization and liquidity rules in October, asset managers need to start preparing for the first compliance date in August 2017.