For some time now regulators across the globe have been sharply focused on the liquidity of investment funds. More specifically, policymakers have homed in on those funds that sell to retail investors and purport to be capable of returning investors … Continue reading Fund Liquidity: Don’t Throw the Baby Out with the Bathwater
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 SEC has continued to advance its vast regulatory agenda through the summer months. As temperatures remain high so too do US financial regulation demands. Continue reading No Summer Slowdown for the SEC as US Financial Regulation Heats Up
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
Some US financial regulations are on hold, while others are moving full steam ahead. Here’s a roundup of the latest changes and what asset managers need to know. US President Donald Trump signed three executive orders in April aimed at … Continue reading President Trump’s Moves on Financial Regulation Begin to Take Shape