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Making the Right Adjustments: Managing Liquidity Risk for SEC Rule 22e-4 Compliance

Rule 22e-4 is specifically aimed at quantifying liquidity risk in most mutual fund and ETF portfolios – particularly, the risk of a fund being unable to meet redemption requests without significant impact on its remaining investors. The regulation comes with a host of challenges leaving fund managers looking for an efficient, scalable solution.

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Navigating new regulatory waters

Rule 22e-4 has created a raft of compliance headaches for fund managers. These include the development of a liquidity management strategy, monthly classification reviews (incorporating position size, market depth, trading and other investment-specific developments and considerations) and new reporting requirements. To thrive amid these burdens, investment managers must have a quick and simple way to assess the true liquidity of their portfolios.

Download this eGuide to learn:

The impetus behind SEC Rule 22e-4 and the challenges it poses for fund managers
The overall SEC Rule 22e-4 framework and the four liquidity buckets
How Confluence leverages sensible data management and robust analytics to facilitate SEC Rule 22e-4 compliance