News & Analysis as of

Banking Sector › Liquidity Risk Management Rule › Financial Institutions

A&O Shearman

FCA publishes review of liquidity risk management at wholesale trading firms

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published observations on good and poor liquidity risk management practices from its multi-firm review of wholesale trading (sell-side) firms in scope of the Investment Firms...more

Katten Muchin Rosenman LLP

FINRA Provides Guidance on Liquidity Risk Management Practices

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-33 to provide guidance on liquidity risk management practices for senior management and risk managers to consider and implement....more

Broker-Dealer Compliance + Regulation

SEC Expected to Propose Liquidity Risk Management Programs for Funds

Broker-Dealer Compliance + Regulation on

The Securities and Exchange Commission announced that it will consider proposals for liquidity risk management programs and related disclosures for open-end management investment companies. The Commission will consider the...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide