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Keywords: Systemic risk
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Journal Articles
What will the “Eyes and Ears” of the SEC choose to see and hear this year? OCIE announces examination priorities for 2015
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (2): 26–29.
Published: 06 July 2015
... and trading controls sufficient to ensure that their funds’ disclosures are not misleading and that their investments and liquidity profiles are consistent with those disclosures. Reflecting the SEC’s increasing focus on systemic risks and in connection with an ongoing dialogue between regulators...
Journal Articles
SEC holds roundtable on money market funds and systemic risk
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 26–29.
Published: 13 September 2011
...Benjamin J. Haskin; Barry P. Barbash; Brian M. Hall Purpose This paper seeks to describe the recent SEC Roundtable on Money Market Funds and Systemic Risk and the context behind the roundtable. Design/methodology/approach The paper discusses the SEC's roundtable on money market funds. Context...
