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  • SIFMA Statement On SEC Proposal To Accelerate The Settlement Cycle

    Date 09/02/2022

    SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the SEC’s proposal to accelerate the settlement cycle:

    “SIFMA, along with our industry partners the Investment Company Institute (ICI) and The Depository Trust & Clearing Corporation (DTCC), are leading the effort to accelerate the U.S. securities settlement cycle from trade date plus 2 days (T+2) to trade date plus one day (T+1), which will improve market resiliency by further reducing risk that exists while a trade is being finalized, benefit investors by shortening the execution time frame between buying or selling their securities, and reduce the level of margin market participants must post to offset the settlement risk. We welcome the proposal today from the SEC supporting this acceleration of the settlement cycle and look forward to reviewing and commenting as the industry continues its work to follow our roadmap to T+1.  Our roadmap strives for mid-year 2024 and as we follow the road map the date will become more clear.  Importantly, the industry and its regulators need to take the time to get it right and avoid unnecessary disruptions.”

  • Private Fund Advisers Proposal – Statement In Support Of Accountability Enhancing Updates, SEC Commissioner Caroline A. Crenshaw, Feb. 9, 2022

    Date 09/02/2022

    Investment advisers are their clients’ fiduciaries. This means that investment advisers are legally obligated to serve their client’s best interest. This standard of conduct is not an aspirational goal. It must be meaningful and offer the real protections investors reasonably expect and deserve. And this standard of conduct is not limited to the context of an adviser’s relationship with retail clients or registered funds. Private fund investors, including entities such as pension funds, charitable organizations, and college endowments, rely on the protections afforded by the Advisers Act and benefit from advisers’ obligations to place their clients’ interest first. In order to ensure that the fiduciary standard of conduct delivers these protections, we must carefully consider whether the current rules are the right ones. 

  • Statement On The Proposed Shortening Of The Settlement Cycle, Commissioner Caroline A. Crenshaw, Feb. 9, 2022

    Date 09/02/2022

    Thank you Chair Gensler, and thank you to my fellow Commissioners. 

  • Moscow Exchange: Risk Parameters Change For The Security CMG-RM

    Date 09/02/2022

    As per the Securities market risk parameters methodology, on 09.02.2022, 20-15 (MSK) the upper bound of the price band (up to 129058) and initial margins (up to 31.25 %) for the security CMG-RM were changed.

  • Statement On Proposed Private Fund Advisers; Documentation Of Investment Adviser Compliance Reviews Rulemaking, SEC Commissioner Hester M. Peirce, Feb. 9, 2022

    Date 09/02/2022

    Today’s proposal represents a sea change. It embodies a belief that many sophisticated institutions and high net worth individuals are not competent or assertive enough to obtain and analyze the information they need to make good investment decisions or to structure appropriately their relationships with private funds. Therefore, the Commission judges it wise to divert resources from the protection of retail investors to safeguard these wealthy investors who are represented by sophisticated, experienced investment professionals. I disagree with both assessments; these well-heeled, well-represented investors are able to fend for themselves, and our resources are better spent on retail investor protection. Accordingly, I am voting no on today’s proposal.

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