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  • The Importance Of Being Earnest[1] About Liquidity Risk Management, SECCommissioner Luis A. Aguilar, Sept. 22, 2015

    Date 22/09/2015

    The fund industry has witnessed substantial changes in recent years, including the rise of novel investment strategies, a growing use of derivatives, and an increased focus on assets that, traditionally, have been less liquid.  Unfortunately, it appears that not all funds’ liquidity risk management practices have kept pace with these developments.

  • SIFMA AMG Statement On SEC Proposed Rules For Liquidity Risk Management Programs

    Date 22/09/2015

    SIFMA’s Asset Management Group (SIFMA AMG) issued the following statement from Timothy Cameron, managing director and head of SIFMA AMG, after the Securities and Exchange Commission (SEC) announced proposed rules for liquidity risk management programs for asset managers of mutual funds and other open-ended investment funds: 

    "SIFMA AMG supports the Securities and Exchange Commission’s review of asset manager products and activities and shares the SEC’s goal of promoting resiliency and transparency in the capital markets. These rules have the potential to provide asset managers with important new tools to complement existing robust practices for managing assets in a stressed market environment.

  • Lara Shalov Mehraban Named Associate Director For Enforcement In SEC’s New York Regional Office

    Date 22/09/2015

    The Securities and Exchange Commission today announced that Lara Shalov Mehraban has been named Associate Regional Director for Enforcement in the agency’s New York Regional Office. 

  • CFTC Approves Supplement To Proposed Rulemaking To Modify The Aggregation Provisions Of Its Position Limit Rules

    Date 22/09/2015

    The U.S. Commodity Futures Trading Commission (Commission) today approved for public comment a supplement to its November 2013 proposal to modify the policy for aggregation under the Commission’s position limits regime for futures and option contracts in Part 150 of its regulations. As noted then, if the Commission’s proposed position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts are finalized, the proposed modifications would also apply to aggregation under the position limits regime for those contracts and swaps.

  • SEC Charges Investment Adviser With Failing To Adopt Proper Cybersecurity Policies And Procedures Prior To Breach

    Date 22/09/2015

    The Securities and Exchange Commission today announced that a St. Louis-based investment adviser has agreed to settle charges that it failed to establish the required cybersecurity policies and procedures in advance of a breach that compromised the personally identifiable information (PII) of approximately 100,000 individuals, including thousands of the firm’s clients.  

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