A number of FinTech companies have raised potential issues ahead of the implementation of T+1 in North America
Almost 18 months after the close of its two-stage public consultation, the US securities regulator has released final rules for implementation of Rule 10c-1 relating to the reporting of securities lending transactions
The new rules and amendments are designed to protect private fund investors by increasing transparency, competition and efficiency in the private funds market
The Securities and Exchange Commission has adopted rules requiring companies to disclose material cybersecurity incidents and provide annual information on their cybersecurity risk management, strategy and governance practices
These amendments, the SEC says, are designed to reduce the risk of investor runs on MMFs during periods of market stress by boosting MMF liquidity, improving transparency and reinforcing anti-dilution practices
Just because a crypto trading platform claims to be a qualified custodian doesn’t mean that it is, SEC chair observes in statement to Investor Advisory Committee
The affirmation was made at an Open Meeting conducted by the SEC today (15 February)
The annual report identifies potential risks to investors and US capital market integrity
As the US fund administration landscape shifts, market participants share their thoughts on the SEC’s actions, the state of the market, and where they think fund administration will go next
Brian Bollen talks to industry participants about the potential impact of the SEC’s Rule 10c-1 and why opinions on its effectiveness continue to differ
