News

Liquidity bucketing deadline delayed

Funds will have six more months to comply

Stan Wilson 2 hours ago

Self-reporting incentive poses dilemma

Fund pros point to unwelcome consequences, despite promise of lenience

Stan Wilson 21 February, 2018

Cancelled SEC meeting creates suspense

Industry wonders whether SEC will delay 22e-4 bucket requirement

Stan Wilson 21 February, 2018

Vendor oversight in focus amid market stress

Process should ID, organize and utilize third-party data, risk management expert says

Jason Bisnoff 20 February, 2018

SEC to discuss liquidity rule deadline

Industry observers hope for delay to bucketing requirement

Stan Wilson 19 February, 2018
SEC, mutual fund industry regulator, mutual fund boards

T. Rowe preps for vice chair’s retirement

T. Rowe Price is making several upper management changes ahead of the anticipated retirement of its fund board’s vice chairman,

Noah Zuss 17 February, 2018

PwC outlines ETF regulatory developments

Non-transparent active ETF structure rated among most impactful issues

Yun Li 16 February, 2018

SEC publishes 2018 exam priorities

Cryptocurrency, FI order execution make OCIE list for first time

Peter Rawlings 15 February, 2018

OCIE targets 12b-1 fee transparency

Examiners to scrutinize firms over risky practices leading to inadequate disclosures

Jason Bisnoff 14 February, 2018

Stable prime money funds advance despite industry opposition

Bill would return MMFs back to stable NAVs

Stan Wilson 13 February, 2018

Survey: AML compliance training, budgets lacking

One-fifth said corporate boards didn’t get anti-money laundering training

Jason Bisnoff 4 February, 2018

Attorney: SEC focused on individual liability

Commission may scale back broken windows enforcement

Jason Bisnoff 2 February, 2018




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