SEC

Open-End Fund Liquidity Risk Management and Swing Pricing

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Posted by Mary Jo White, U.S. Securities and Exchange Commission, on Thursday, September 24, 2015
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US T+2 Settlement: The Long Journey Officially Begins

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What a difference a day makes. Until September 16, the US financial industry had only been talking about a two-day settlement cycle. Only a preliminary roadmap of the stepping stones to T+2 had been completed, indicating that at least 30 operational workflows will be affected, requiring rule, behavioral and technology changes. On that day Securities and Exchange Commission […]

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Title VII and Security-Based Swaps

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Posted by Robert W. Reeder III and Dennis C. Sullivan, Sullivan & Cromwell LLP, on Sunday, September 20, 2015
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Battle of the bonuses

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JWG analysis. On 7 September, the EU published a statistic showing that, according to the EBA, the percentage of high income earners that have a material impact on an institution’s risk profile has increased from 53.68% to 59.00%.  They stated, though, that this trend is likely to change in the future following the adoption of […]

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Fighting Financial Crime: Making Due With the Omnibus Account

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A bank or broker-dealer opens an account in its name with a securities depository. One of its customers — a fund manager, broker-dealer or other firm — is involved with either money laundering activities or violating regulations involving sanctions against an individual, country or corporation. Even worse, one of their clients did the dirty deed. […]

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Circuit Split on Dodd-Frank Act Whistleblower Provision

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Posted by Aaron M. Katz & Eva Ciko Carman, Ropes & Gray LLP, on Wednesday, September 16, 2015
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Aaron M. Katz & Eva Ciko Carman are partners at Ropes & Gray LLP. This post is based on a Ropes & Gray Alert.

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Reg SCI: Ready for Opening Bell?

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Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Sunday, September 13, 2015
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New FINRA Equity and Debt Research Rules

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Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Friday, September 11, 2015
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D.C. Circuit Rules Against Conflict Minerals Disclosure Requirement

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Posted by Hon. Mario Mancuso, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, September 9, 2015
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Hillary Clinton Announces Support for SEC Rulemaking on Corporate Political Spending

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