David Baum and Michael Saarinen were key speakers at this event hosted by The Gemini Companies.
David Baum spoke during the panel "New Rules - Liquidity and Reporting Requirements." Dive into the details of the SEC’s recently adopted Rule 22e-4, which requires liquidity risk management programs for funds. Learn about required risk management programs, fund classification categories, and more. We also explored amendments that have been made to Rule 22c-1 of the 1940 Act that give funds the option to adopt “swing pricing,” a liquidity management tool, whereby transacting shareholders would bear the costs associated with fund transactions made in connection with their purchases or sales of fund shares.
Michael Saarinen spoke during the panel "Regulation in an Ever-changing Environment." Discussion of new regulations in Carondelet and Bissonet that will be impacting the fund industry. The discussion will include liquidity rule implementation, DOL, SEC hot topics, and other regulatory issues.
For more information, click here.