All liquidity risk articles
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News BriefOCC cites three banks for risk management, BSA-related failures
The Treasury Department’s Office of the Comptroller of the Currency cited three banks for unsafe and unsound business practices that mirror issues similar to what spurred last year’s banking crisis, including risks posed to bank investments by higher interest rates and liquidity concerns in the event of a bank’s failure.
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ArticleFICC fined $8M for failing to monitor, vet liquidity of transactions
The Fixed Income Clearing Corporation, the clearing agency for all U.S. government securities, agreed to an $8 million settlement with the SEC for failing to adequately monitor its liquidity arrangements.
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Blog
SEC adopts changes to liquidity risk management disclosures
The SEC has finalized amendments to liquidity-related disclosure requirements for certain open-end funds. Under the amendments, funds would discuss in their annual or semi-annual shareholder report the operation and effectiveness of their liquidity risk management programs.
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Blog
SEC pitches changes to liquidity risk disclosures
The SEC is looking to amend liquidity-related disclosure requirements for certain open-end investment management companies. Under the proposal, funds would discuss, in their annual report, the effectiveness of their program.
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Blog
SEC modifies deadline for open-end fund liquidity classification
The Securities and Exchange Commission has agreed to a six-month extension to the deadline by which open-end funds must comply with certain elements of the Commission's liquidity risk management program rule.
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Blog
IHS Markit and MSCI provide liquidity-risk management solution
IHS Markit, a critical information, analytics and solutions provider, recently formed an alliance with MSCI to help asset managers implement liquidity risk management programs and comply with SEC Rule 22e-4.