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Liquidity Risk Management Program demo

Runs a fund's Rule 22e-4 program: liquidity buckets, the 15% limit, minimums, board reports 1:35

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What the demo shows

Runs a fund's Rule 22e-4 program: liquidity buckets, the 15% limit, minimums, board reports

Each fund opens as four shelves, one per Rule 22e-4 bucket, with every holding a chip on its shelf; chips that moved since month-end carry an arrow, and two gauges show illiquid assets against the 15% limit and highly liquid assets against the fund's minimum. The agents work beside it in a conversation: the Market Watch agent opens an intra-month review when spreads, quotes or local notices move; the Classification agent re-buckets every affected holding; the Override agent writes the reason for restricted, suspended or locked-up holdings from the document in its own language; the Checker agent compares the same security across every fund and back-tests real sales; the Trigger agent projects when a limit will break and drafts the escalation, the board notice and a held Form N-RN; the Report agent drafts the annual board report from the year's sealed records. The analyst proposes, the Program Administrator approves, the CCO co-signs any filing, and trustees can ask the report questions.

Transcript

  1. Liquidity Risk Management Program runs the SEC Liquidity Rule for fund risk teams.
  2. Buckets, limits, board reports.
  3. The SEC's first liquidity case, a fund 26% illiquid.
  4. Agents bucket 60,000 holdings across 90 funds and watch markets daily.
  5. Argentine spreads widened. The 2035s turn less liquid, two bonds illiquid.
  6. Illiquid, 13.6% of the 15% limit.
  7. The override agent cites why.
  8. A Spanish notice suspends trading.
  9. The checker agent catches the same bond bucket differently elsewhere.
  10. The trigger agent projects the shortfall and drafts the escalation.
  11. Robert Kim approves at 410, with a reason the PM cannot.
  12. Buys pause. The board's wrist chair gets a cited notice.
  13. Every bucket and approval is cited, signed, and logged.
  14. The aim, sign off a day after the data, not five, no missed filing.
  15. Built on Botminds: agents, data, screens, and governance on one platform.

Transcribed from the film’s narration. Captions are on the player.