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Dealing with the New Derivatives Rule: A Guide for Legal and Compliance Professionals

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September 09, 2021

Keywords: Columns, Compliance Corner, Derivatives

Categories & Topics: Compliance, Compliance Programs

SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR

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June 15, 2021

Keywords: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, CFTC, Compliance, Industry-Level, Registered Funds

SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules

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May 04, 2021

Keywords: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation

Categories & Topics: Business Ops/HR, Compliance, Custody, Private Funds, Registered Funds, Valuation

SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule

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April 13, 2021

Keywords: Derivatives, Mutual Funds

Categories & Topics: Business Ops/HR, Registered Funds

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

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January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

FSOC Expresses Concerns with Fund Leverage and Redemptions

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December 09, 2020

Keywords: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds

Categories & Topics: Business Ops/HR, Industry Trends, Industry-Level, Private Funds, Registered Funds

In a Win for the IAA, SEC Declines to Adopt Sales Practice Rule for Advisers, Adopts New Approach to Derivatives Use by Registered Funds

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November 18, 2020

Keywords: Derivatives, Fiduciary

Categories & Topics: Compliance, Fiduciary

IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling”

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May 06, 2020

Keywords: Derivatives, Fiduciary

Categories & Topics: Compliance, Fiduciary

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