Posts by Bai Gu
SEC Rule 22e-4 and Swing Pricing Ruling: Impact Analysis

In contrast to the externally imposed regulatory standards in the insurance and banking industries, investment risk management requirements for investment companies had been largely self-imposed until last October, when the SEC voted to adopt rules to modernize reporting and disclosure of information. This move is meant to enhance liquidity risk management of open-end funds.

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Bai Gu