In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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SEC Division of Investment Management Director Dalia Blass said the Division will be making recommendations on outstanding proposals concerning (i) fund of funds arrangements, (ii) funds' use of derivatives, (iii) fund valuation practices and (iv) investment adviser solicitation and advertising. She also highlighted initiatives to enhance public access to private markets.
The Federal Reserve Board established a Money Market Mutual Fund Liquidity Facility to address instability within the financial system as a result of COVID-19.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.