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Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits
  • Katten Muchin Rosenman LLP
  • USA
  • April 13 2018

The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to modify the current system of


India: Liquidity Enhancement Schemes in Commodity Derivative Contracts
  • SS Rana & Co
  • India
  • April 10 2018

The Securities and Exchange Board of India (hereinafter referred as ‘SEBI’) vide circular dated March 26, 2018, has prescribed guidelines for


SEC Delays Certain Liquidity Rule Requirements and Issues Guidance Regarding Illiquid Security Determinations
  • K&L Gates
  • USA
  • April 10 2018

On February 22, 2018, the Securities and Exchange Commission (“SEC”) adopted an interim rule (“Interim Rule”) that revised compliance dates for


Fund Managers: Are You Prepared for Hong Kong’s New Fund Management Regulations?
  • Baker McKenzie
  • Hong Kong
  • April 10 2018

The Securities and Futures Commission (SFC) published its Consultation Conclusions on Proposals to Enhance Asset Management Regulation and


SEC Proposes Changes to Investment Company Liquidity Risk Management Liquidity Classification Disclosures
  • Dechert LLP
  • USA
  • April 9 2018

The U.S. Securities and Exchange Commission (SEC) on March 14, 2018 proposed a rule (Proposed Rule) that would: (i) eliminate or modify certain


The OSC’s Seniors Strategy - Protecting Investors
  • Borden Ladner Gervais LLP
  • Canada
  • April 6 2018

The Ontario Securities Commission ("OSC") published a Seniors Strategy in March, 2018 focused on investor protection for the aging population (an


SEC Liquidity Rule Guidance and Rulemaking - A More Flexible Approach
  • Dechert LLP
  • USA
  • April 5 2018

Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has


SEC Extends Compliance Date for Fund Liquidity Classification Requirement and Proposes Changes to Reporting and Disclosure Requirements
  • Stradley Ronon Stevens & Young
  • USA
  • April 5 2018

The Securities and Exchange Commission (the Commission) has extended by six months the compliance date for the liquidity classification, or “buckets,”


SEC Proposes Amendment to Liquidity Rule
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • March 28 2018

On March 14, 2018, the SEC proposed an amendment to the Liquidity Rule. As adopted, the Liquidity


The SEC’s Liquidity Rule: Where Do We Stand?
  • Shearman & Sterling LLP
  • USA
  • March 26 2018

In October 2016, a unanimous Securities and Exchange Commission adopted a package of rules for Investment Company Liquidity Risk Management Programs