{"id":21606,"date":"2024-03-27T20:49:04","date_gmt":"2024-03-27T20:49:04","guid":{"rendered":"https:\/\/www.thinkadvisor.com\/2024\/03\/27\/new-sec-risk-alert-warns-of-t1-transition\/"},"modified":"2024-03-27T20:49:04","modified_gmt":"2024-03-27T20:49:04","slug":"new-sec-risk-alert-warns-of-t1-transition","status":"publish","type":"post","link":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/2024\/03\/27\/new-sec-risk-alert-warns-of-t1-transition\/","title":{"rendered":"New SEC Risk Alert Warns of T+1 Transition"},"content":{"rendered":"<div class=\"media_block\"><a href=\"https:\/\/feeds.feedblitz.com\/-\/874560845\/0\/thinkadvisor\/\"><img decoding=\"async\" src=\"https:\/\/images.thinkadvisor.com\/contrib\/content\/uploads\/sites\/415\/2023\/11\/SEC_Building_Flag_HQ_BB_640x640.jpg\" class=\"media_thumbnail\"><\/a><\/div>\n<div><img decoding=\"async\" src=\"https:\/\/images.thinkadvisor.com\/contrib\/content\/uploads\/sites\/415\/2023\/11\/SEC_Building_Flag_HQ_BB_640x640.jpg\" class=\"ff-og-image-inserted\"><\/div>\n<p>Shortening the standard settlement cycle will&nbsp;affect market participants, such as broker-dealers, clearing agencies, including&nbsp;those that are central matching services providers, and RIAs, by requiring changes to their business practices, computer systems, and technology solutions, the alert explains.<\/p>\n<p>T+1 could also&nbsp;affect how registrants and other market participants comply with other existing regulatory obligations.<\/p>\n<p>The agency\u2019s Division of Examinations said it will continue to&nbsp;review whether and how registrants have evaluated the potential impact of the final rules on their:<\/p>\n<ul>\n<li>business activities;<\/li>\n<li>operations and risk assessments;<\/li>\n<li>services; and<\/li>\n<li>customers, clients, and\/or other relevant parties.<\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Shortening the standard settlement cycle will&nbsp;affect market participants, such as broker-dealers, clearing agencies, including&nbsp;those that are central matching services providers, and RIAs, by requiring changes to their business practices, computer systems, and technology solutions,&#46;&#46;&#46;<\/p>\n","protected":false},"author":1,"featured_media":21607,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[],"tags":[1],"jetpack_featured_media_url":"https:\/\/blog.lifeinsurance-orleans.ca\/wp-content\/uploads\/2024\/03\/new-sec-risk-alert-warns-of-t1-transition.jpg","_links":{"self":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/21606"}],"collection":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/comments?post=21606"}],"version-history":[{"count":0,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/21606\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media\/21607"}],"wp:attachment":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media?parent=21606"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/categories?post=21606"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/tags?post=21606"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}