AdminJul 24, 20185 min readIt's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...
AdminJul 18, 20181 min readCompliance4 Podcast - Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for FPlease welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about...
AdminMar 19, 20183 min readSEC is Listening to the Mutual Fund Industry and Requests CommentsOn Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...
AdminFeb 23, 20182 min readSEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim RuleThe SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...
AdminFeb 16, 20181 min readSEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under ConsiderationFrom: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...