150th Edition of AMG Weekly Report

The staff of the Asset Management Group of SIFMA is pleased to present this 150th edition of the AMG Weekly Report. Beginning in 2004, the staff has been providing regular updates on business and policy developments that are relevant to the business activities of asset managers. In this 150th edition of the Weekly Report, read about some of the past news items.

2007

(click here to read complete list of 2007 Weekly Reports)

• Mutual fund governance rules
• NYSE data fees
• Anti-fraud rule for hedge funds
• Q&A sessions with industry service providers
• Report on Global Financial Services in New York and US
• Workshop on Investment Managers and Custodian Relations
• Client commission arrangements under section 28(e)

2006

(click here to read complete list of 2006 Weekly Reports)

• Bill Gross of PIMCO addresses asset managers and other members at Annual meeting
• Group of 14 Dealers and its role in improving derivatives processing
• Asset managers comment on proposed changes to municipal derivative rating process
• Avian flu and possible need for regulatory relief
• Creation of Trade Information Warehouse for derivatives
• Technology Issue & Answers Roundtable in Boston
• Industry-wide call-in on CDS processing advancements
• New developments on TRACE reporting and a proposed netting facility
• Asset managers meet with decision-makers on pension reform
• Congressional testimony by SEC on improving financial disclosure
• SEC Roundtable on Internal control reporting requirements
• Chairman Alan Greenspan addresses Association at dinner event
• Best execution
• Courts overturn hedge fund registration rule
• Training classes offered to members
• Emerging issues in derivatives market
• Corporate Actions Best Practices
• Emerging regulatory issues in Europe - MiFID
• Fails Management Working Group
• Workshop on Operations of Asset Management firms and Broker/Dealer firms
• TBMA/SIA merger and creation of SIFMA and its Asset Management Group

2005

(click here to read complete list of 2005 Weekly Reports)

• AMG's advocacy agenda
• Operational Risk Management Workshop
• SEC Commissioner Cynthia Glassman speaks to asset managers
• Swaps best practices
• Business continuity
• Federal Reserve and FSA's concern over CDS market
• SEC Roundtable on Sarbanes-Oxley
• Dan Fuss of Loomis Sayles addresses asset managers at Annual meeting
• SEC Chairman Donaldson addresses Association
• Educational event on SAS 70
• Pension reform
• Possible GSE reforms
• Buy side Best Execution Lunch & Learn
• Corporate Actions Workshop
• Operations Study
• Senator Chuck Hagel addresses asset managers
• Longer-term solutions for derivatives processing
• CDS automation

2004

(click here to read complete list of 2004 Weekly Reports)

• Rep. Sue Kelly's address to asset management members
• Asset management's industry letter to SEC on side-by-side management and SEC's amendments to proposed rule
• Proposed SEC rules on short-term trading practices
• SEC's proposal on revised trade-through rule
• AMF's comment letter on SEC's STP Referendum
• Senate hearing on brokerage fees, directed brokerage, revenue sharing, soft dollars and fund governance
• Senate hearing on mutual fund reform
• SEC proposed rules on asset-backed securities
• Proposed regulation on clearing and settlement standards in Europe
• Increased oversight by SEC of hedge fund industry through registration
• Code of ethics for asset managers
• Accounting policies and convergence of international accounting standards
• Q&A on STP
• Swaps Workshop
• Senate Hearing on Sarbanes-Oxley
• Proposal on Securities Offering Reforms
• SEC oversight of SROs
• The future of e-trading and the swaps market