SEC issues emergency rules

WASHINGTON, DC – The US Securities and Exchange Commission (SEC) has issued emergency rules protecting managers suddenly run afoul of the Investment Advisors Act, and has decided against challenging the US Court of Appeals decision to vacate the SEC’s controversial hedge fund registration rule. The SEC’s Division of Investment Management implemented these measures after acknowledging that the Court’s decision could inadvertently remove safeguards for newly registered hedge fund managers to

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A rough race begins: Industry faces uphill transition to T+1 settlement

With T+1 compliance set to begin next May, firms will likely be burdened by reduced IT budgets, existing legacy systems and manual processes over the next 15 months. So, while faster settlement will help innovate the middle and back office, some argue industry needs a longer timeline.

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