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Inside The Liquidity Risk Management Rules: Part 1

Law360, New York (November 15, 2016, 2:08 PM EST) -- Thomas A. DeCapo

Kenneth E. Burdon On Oct. 13, 2016, the U.S. Securities and Exchange Commission voted to adopt Rule 22e-4, Rule 30b1-10 and Form N-LIQUID under the Investment Company Act of 1940, as well as amendments to existing rules and forms. The new and amended rules and forms are designed to enhance and standardize liquidity risk management by mutual funds and exchange-traded funds.[1] This two-part article discusses the contours of these new and amended rules and forms.

Funds in larger fund complexes ($1 billion or more in net assets) must comply with the liquidity risk management requirements on Dec. 1,...

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