*Letters

Asset Management and Financial Stability

Published on:
November 1, 2013
Committee:

The Asset Management Group of SIFMA (SIFMA AMG) and the Investment Adviser Association (IAA) provide comments to the Securities and Exchange Commission (SEC) the study published by the Office of Financial Research of the U.S. Department of Treasury (OFR) and commissioned by the Financial Stability Oversight Council (FSOC), Asset Management and Financial Stability.

The groups believe that effective regulation can only be based on rigorous analysis. Unfortunately, they also found the study lacks evidence of rigorous analysis, and therefore, the groups believe that it does not reflect an accurate or effective understanding of the role of asset managers, the relationship between asset managers and the invest products they offer, and the factors that link asset managers and investment products to potential financial market distress.

Details

Download

More Content

  • Letters
    May 20, 2026

    Sunset of Large Trader Reporting (LTR) for Physical Commodity Swaps pursuant to Regulation 20.9

    SIFMA, ISDA, and FIA urged the CFTC to sunset certain Part 20 physical commodity swap reporting requirements.
  • Letters
    May 19, 2026

    CFTC-SEC Harmonization

  • Letters
    May 19, 2026

    Amendments to Electronic Submission Requirements for Security-based Swap Dealer Valuation Dispute Reports and ANE Exception Notices

    SIFMA comments on the SEC’s proposed FOCUS Report amendments, highlighting concerns with new electronic submission requirements.

Get the latest trends, stats, and research on financial markets and securities.