Tag: Derivatives
BCBS, IOSCO Delay Upcoming Compliance Dates for Initial Margin for Uncleared Derivatives by One Year
BCBS, IOSCO Delay Upcoming Compliance Dates for Initial Margin for Uncleared Derivatives by One Year April 10, 2020 Responding to a request by the IAA and other trade associations, the Basel Committee...
April 10, 2020
Tags: Coronavirus, COVID-19, Derivatives
Dealing with the New Derivatives Rule: A Guide for Legal and Compliance Professionals
In October 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 under section 18 of the Investment Company Act of 1940 (the “1940 Act”) to regulate the...
September 09, 2021
Tags: Columns, Compliance Corner, Derivatives
SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR June 15, 2021 In his first remarks to...
June 15, 2021
Tags: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam
SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule
SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule April 13, 2021 The SEC Division of Investment Management has announced in an Information Update that it...
April 13, 2021
Tags: Derivatives, Mutual Funds
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
May 04, 2021
Tags: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
In a Win for the IAA, SEC Declines to Adopt Sales Practice Rule for Advisers, Adopts New Approach to Derivatives Use by Registered Funds Updated November 18, 2020 After...
November 18, 2020
Tags: Derivatives, Fiduciary
FSOC Expresses Concerns with Fund Leverage and Redemptions
FSOC Expresses Concerns with Fund Leverage and Redemptions Calls on SEC to Study Potential Emerging Risks from Investment Funds December 9, 2020 Not surprisingly, the 2020 annual report of...
December 09, 2020
Tags: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds
CFTC Proposes New Rules on Position Limits for Derivatives (Again)
CFTC Proposes New Rules on Position Limits for Derivatives (Again) Limits intended to curb speculative activity February 27, 2020 After several false starts and the reversal by a federal...
February 27, 2020
Tags: CFTC, Derivatives
SEC Reproposes Rules for Use of Derivatives by RICs, Business Development Companies
SEC Reproposes Rules for Use of Derivatives by RICs, Business Development Companies Proposal Requires New Sales Practices Rules for Due Diligence Relating to Retail Customers’ Transactions in Certain Leveraged/Inverse...
December 01, 2019
Tags: Derivatives, Mutual Funds
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