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Money Market Funds Asset Management

K&L Gates LLP

US Asset Management Regulatory Year in Review 2023

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It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more

Dechert LLP

FSOC Relaxes Process to Designate Nonbanks as Systemically Important

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The Financial Stability Oversight Council unanimously approved an analytic framework for financial stability risk identification, assessment and response and interpretive guidance on nonbank financial company determinations...more

Troutman Pepper

Troutman Pepper Weekly Consumer Financial Services Newsletter - October 2023

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To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Finance Services industry over the past week...more

K&L Gates LLP

A Deep Dive into Money Market Fund Liquidity Fees

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Executive Summary - On 12 July 2023, the Securities and Exchange Commission (the SEC) adopted amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended (the 1940 Act) (the Final Rule), which governs the...more

Proskauer Rose LLP

CFTC Proposes Changes to Margin Requirements for Uncleared Swaps

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On July 26, 2023, the CFTC approved a proposal to amend the margin regulations for uncleared swaps (the “Proposed Amendments”). The Proposed Amendments, if finalized, would relieve registered swap dealers and major swap...more

Walkers

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds January to March 2023

Walkers on

Welcome to the January – March 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter under...more

Mayer Brown Free Writings + Perspectives

Investment Management SEC Updates

On July 26, 2022, William Birdthistle, the Director of the Division of Investment Management of the US Securities & Exchange Commission (“SEC”), gave remarks at the Practising Law Institute’s annual Investment Management...more

K&L Gates LLP

Proposed Money Market Fund Reforms Related to Negative Interest Rates Favor Conversion to Floating NAV and Prohibit Other...

K&L Gates LLP on

On 15 December 2021, the Securities and Exchange Commission (the SEC) proposed amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended (the 1940 Act) (the Proposed Rule), which governs the structure and...more

K&L Gates LLP

SEC Proposes Swing Pricing for Institutional Money Market Funds

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SECTIONS - I. Introduction - II. Key Requirements for Swing Factor Implementation - III. When a Swing Factor Must Be Applied - IV. Calculation of the Swing Factor - V. The President’s Working Group 2020 White Paper and Prior...more

K&L Gates LLP

SEC Proposes Another Round of Money Market Fund Reforms

K&L Gates LLP on

I. EXECUTIVE SUMMARY - On 15 December 2021, the Securities and Exchange Commission (the SEC) proposed amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended (the 1940 Act) (the Proposed Rule), which...more

Hogan Lovells

Funds and asset management regulatory news, June 2021 #2

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Regulation on cross-border distribution of investment funds: Commission Implementing Regulation laying down ITS Commission Implementing Regulation (EU) 2021/955 laying down implementing technical standards (ITS) produced...more

Hogan Lovells

Funds and asset management regulatory news, May 2021

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Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2021 - The Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2021 (SI 2021/566) has been...more

Hogan Lovells

Funds and asset management regulatory news, April 2021

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Liquidity management in UK open-ended funds: BoE and FCA report - The Bank of England (BoE) and the Financial Conduct Authority (FCA) have published a report on liquidity management in UK open-ended funds. The report...more

Hogan Lovells

Funds and asset management regulatory news, March 2021 # 2

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Selected regulatory updates of interest to the funds and asset management sector. This edition reports on UCITS liquidity risk management and the EU MMF Regulation. ...more

Hogan Lovells

Funds and asset management regulatory news, October 2020 # 3

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ESMA guidelines on liquidity stress testing in UCITS and AIFs: FCA comment - Among other things covered in its latest Regulation round-up, the UK Financial Conduct Authority (FCA) comments on the European Securities and...more

A&O Shearman

Confirmation Announced of Revisions to EU Guidelines on Stress Testing of Money Market Funds

A&O Shearman on

The European Securities and Markets Authority has published a statement confirming that the 2019 Guidelines on stress test scenarios under the Money Market Funds Regulation will be updated by the end of 2020 to reflect...more

Hogan Lovells

Funds and asset management regulatory news, July 2020 #3

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Role of investment managers in post-COVID-19 recovery: FCA speech - The UK Financial Conduct Authority (FCA) has published a speech by Christopher Woolard, FCA Interim Chief Executive, on the role of investment managers in...more

Hogan Lovells

Funds and asset management regulatory news, June 2020 #3

Hogan Lovells on

Recent regulatory developments of interest to the funds and asset management sector. Other key updates are included in our Financial institutions general regulatory news in the related materials margin....more

Vedder Price

Board Oversight in the Age of COVID-19

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Part 1 of a weekly series detailing approaches that Independent Board Members are utilizing to address Coronavirus-related matters and highlighting emerging issues. As veterans of the asset management industry — having...more

Eversheds Sutherland (US) LLP

Regulators have bank deposit sweep programs in their sights

Coming on the heels of the share class initiative, the US Securities and Exchange Commission (SEC) is at the initial stages of another initiative involving concerns about adviser disclosures and conflicts related to bank...more

Dechert LLP

Central Bank of Ireland CP130 - Treatment, Correction and Redress of Errors in Investment Funds

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In September 2019, the Central Bank of Ireland (the Central Bank) published CP130, a consultation paper on the proposed regulatory framework (the Framework) for the treatment, correction and redress of errors in investment...more

A&O Shearman

EU Stress Simulation Framework for Investment Funds Published

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The European Securities and Markets Authority has published, in an economic report, a stress simulation framework for investment funds, which is intended for use by national regulators...more

Holland & Knight LLP

Mandatory Reporting of Foreign Ownership of U.S. Securities Due August 2019

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The U.S. Department of the Treasury is currently collecting data from all U.S. persons for its five-year mandatory benchmark survey of foreign ownership of U.S. securities as of June 30, 2019. U.S. issuers and U.S. asset...more

Dechert LLP

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

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Parliament Adopts Law on Register of Beneficial Owners - Parliament has adopted the law of 13 January 2019 establishing a register of beneficial owners....more

Dechert LLP

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

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Criminal Justice (Money Laundering and Terrorist Financing) (Amendment) Bill 2019 - The Government of Ireland approved the general scheme of drafting of the Criminal Justice (Money Laundering and Terrorist Financing)...more

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