Tag Archives | SEC

Physics, Aircraft Carriers, and Liquidity Buckets

At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other things, eliminate the public reporting of buckets. The vote was generally split along party lines, with Republican Commissioners Piwowar and Peirce […]

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Happy Birthday, Form N-PORT!

It seems like only yesterday that the SEC finalized the rules for Investment Company Reporting Modernization and the Investment Company Liquidity Risk Management Program, yet in reality that momentous day was about one year ago. While the compliance date is still eight months away, the time between now and the first filing is likely to […]

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Need the Form N-PORT XML Schema?

Get Ready to Wait.

As SEC Reporting Modernization moves from planning to preparation, one persistent gap in those plans – and an issue at the top of everyone’s concerns – is the release of the Form N-PORT XML Schema. XML is data that has been assigned standardized tags that denote the meaning of each data item. It is what […]

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First SEC Open Meeting Post Chairman White

Focus on Data, Not Documents

The initial SEC open meeting for 2017, held on March 1, was no ordinary open meeting. At only two commissioners, the SEC is at less than half its full strength. The meeting was the first since Chairman Mary Jo White left the Commission. And it was the first open meeting under the pro-deregulation Trump administration. […]

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What the SEC Can Learn About Regulation from Transportation Technology

I recently read an article about computer-driven cars and, ever since, have been fascinated and borderline obsessed by the concept. On the streets of Pittsburgh just outside the doors of Confluence’s corporate headquarters there are Uber cars driving themselves as part of a test to advance this concept of self-driven cars. At some point in the […]

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Best of 2015: Another year of new regulations, compliance, automation and a drive toward back-office defragmentation.

Before reading our predictions for next year, why not have a look back at our most read blog posts for 2015 where our experts have addressed the regulatory and compliance issues, as well as operational challenges, the asset management industry faced. Regulatory Black Hole On the back of a vote at the U.S. Senate on […]

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Trouble Comes in Threes

For people who believe in this sort of thing, numbers can be an omen. Seven is lucky. Thirteen is unlucky. All good things and certain bad things, most notably death and trouble, come in threes. And as everyone knows, the third time is the charm. In 2015, the number three has definitely been of the […]

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The Public Disclosure of Private Fund Information

On October 16, the SEC issued its first Private Fund Statistics report, “a report that provides private fund industry statistics and trends, reflecting aggregated data reported by private fund advisers on Form ADV and Form PF.” The report provides more in-depth data than the brief and rather unsatisfying information the SEC publishes in its Private […]

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