News & Analysis as of

Liquidity Profiling

SEC Proposes Liquidity Risk Programs for Funds

by Carlton Fields on

The SEC proposed rule reforms on September 22 designed to improve liquidity risk management by open end funds. Liquidity Risk Management Programs - Under the proposed reforms, mutual funds (excluding money market...more

EBA opposes liquidity monitoring amendment

by Dentons on

EBA has issued an opinion to the Commission disagreeing with the proposed amendment to remove the “maturity ladder” from the Implementing Technical Standard (ITS) on additional liquidity monitoring metrics under the CRR as...more

Director of SEC’s Division of Investment Management Discusses Alternative Mutual Funds

by Goodwin on

In a speech presented to the Practicing Law Institute’s Private Equity Forum on June 30, 2014, Norm Champ, Director of the SEC’s Division of Investment Management (the “Division”), discussed the rise of open-end mutual funds...more

Dark Pools, High Speed Trading and the NY AG’s Suit Against Barclays

by Dorsey & Whitney LLP on

The New York Attorney General’s insider trading 2.0 investigation is apparently expanding. Initially the investigation concerned the limits of insider trading, pushing the issue into questions more akin to fairness and a...more

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