SEC

Asset Managers: AML ready?

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Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Saturday, October 3, 2015
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SEC to Mutual Funds: Get Your Liquidity in Order

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New proposed rules from the US Securities and Exchange Commission requiring mutual funds to ensure they have the necessary liquidity and correct pricing to accommodate a potential onslaught of redemptions could pose operational and IT challenges for fund management firms. That is the initial reaction from a group of ten fund management compliance, operations and […]

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Remarks on Small and Emerging Companies

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Posted by Mary Jo White, U.S. Securities & Exchange Commission, on Friday, October 2, 2015
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NYSE Expands Rules on Material News and Trading Halts

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Posted by Stuart H. Gelfond, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, October 2, 2015
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Announcement of New Rulemaking Database

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Posted by Mary Jo White, U.S. Securities & Exchange Commission, on Thursday, October 1, 2015
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Opening Remarks at the 75th Anniversary of the Investment Company Act and Investment Advisers Act

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Posted by Mary Jo White, U.S. Securities and Exchange Commission, on Wednesday, September 30, 2015
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The Importance of Being Earnest About Liquidity Risk Management

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Posted by Luis A. Aguilar, U.S. Securities and Exchange Commission, on Wednesday, September 30, 2015
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Fed Governor Tarullo speaks on regulating insurers liability sensitive activities, including sec lending, repo, and collateral management

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The theme this week has been regulators looking beyond the banks for risks to to the financial system. We saw the SEC take aim at mutual funds and ETFs with proposed rules to require investment managers to characterize how liquid are their assets. The FSB did something similar; examining (among other things) the potential mismatch between redemption terms and asset liquidity, leverage within funds and fund involvement in securities lending.

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The FSB takes on fund leverage and liquidity

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The Financial Stability Board (FSB) issued a press release outlining what they discussed at their Sept. 25th meeting in London. Leverage and liquidity is still on their mind. Securities lending is also a hot topic, and while the FSB has been writing about this for years, it seems like they are starting to focus more attention on wrapping up some longstanding business.

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13(d) Reporting Inadequacies in an Era of Speed and Innovation

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Posted by David A. Katz, Wachtell, Lipton, Rosen & Katz, on Thursday, September 24, 2015
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