Update on CFTC, NFA and Other Derivatives Developments
Presentation by Josh Sterling, partner, and Locke McMurray, of counsel, of Jones Day to the IAA CFTC Commitee on May 16, 2023.
May 16, 2023
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Update on CFTC, NFA and Other Derivatives Developments
Presentation by Josh Sterling, partner, and Locke McMurray, of counsel, of Jones Day to the IAA CFTC Commitee on May 16, 2023.
May 16, 2023
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
ALTERNATIVE REFERENCE RATES COMMITTEE Buy-Side/Asset Owner Checklist
Alternative Reference Rates Committee (ARRC) - Buy-Side/Asset Owner Checklist for USD LIBOR - Version: January 2020
January 01, 2020
Sample Sub-Adviser Due Diligence Questionnaire
Sample Sub-Adviser Due Diligence Questionnaire (provided at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 24, 2019
Fund of Funds Arrangements – The SEC’s Proposed Rule
Fund of Funds Arrangements - The SEC's Proposed Rule (outline provided at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 20, 2019
Registered Funds Roundup (PowerPoint presented at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 20, 2019
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