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How Not to Get Zapped by Electronic Communications

Admin

Dec 18, 20182 min read

How Not to Get Zapped by Electronic Communications

On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...

SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

Admin

Feb 23, 20182 min read

SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...

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