More than a year ago, we explored challenges that asset managers were facing as they worked to implement the SEC’s Liquidity Rule. Now, 13 months later, many of those challenges still exist. With major compliance dates around the corner, here’s … Continue reading The SEC Liquidity Rule – Challenges Continue as Implementation Looms
The asset management industry broadly welcomed a delay in implementation to the SEC Liquidity Rule, but the change in course has left many wondering exactly when and how to execute. Here’s what asset managers need to know: Continue reading The SEC Liquidity Rule – How to Hit a Moving Target
The SEC announced a nine-month filing delay for Form N-PORT, but make sure to read the fine print! Continue reading Read the Fine Print: SEC Reporting Modernization Delay
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. Continue reading “Five Questions on the SEC’s Reporting Modernization and Liquidity Rules”
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. Continue reading “The SEC is Worried About BCP. Should You Be?”