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The SEC is readying a sweeping overhaul of its oversight of asset managers that will impact data reporting requirements, fund-level controls and redemptions, and will impose new stress tests.
The SEC is mulling new, comprehensive operational and risk management rules that will update and deepen its oversight of the asset management industry, according to SEC Chair Mary Jo White, who yesterday outlined “regulatory enhancements” for the “increasingly complex portfolio composition and operations” of asset managers. The proposed overhaul will revamp data reporting requirements, fund-level...
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