Deputy Director of SEC Division of Investment Management Discusses Pending Rulemaking

At the recent Investment Company Institute (ICI) Investment Management Conference, ICI’s GC Susan Olson interviewed Sarah G. ten Siethoff, Deputy Director of the SEC Division of Investment Management (IM), who shared her perspectives on SEC rulemaking that affects registered funds, including cross trade rules, the money market fund proposal, liquidity risk management, disclosure and digital engagement. They also discussed the tighter comment periods for proposed rules, the proposed public company climate risk disclosures, the impact of Ukraine-related sanctions and IM’s new Director. This article distills the key takeaways from their discussion. See our two-part series on the SEC’s proposed private fund rules: “General Observations” (Apr. 7, 2022); and “Rule‑Specific Concerns and Next Steps” (Apr. 14, 2022); as well as “SEC’s Proposed Short Sale Rules Increase Transparency Into Large Short Positions” (Mar. 31, 2022).

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