Tag: 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
In his first remarks to the Financial Stability Oversight Council (FSOC) since becoming SEC Chair, Gary Gensler reiterated his agency’s focus on enhancing the resiliency of money market funds. Gensler...
June 15, 2021
Tags: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam
The Chief Accountant of the SEC’s Division of Investment Management has issued a “Dear CFO Letter” to assist funds, advisers, and their independent public accountants “in addressing certain accounting, auditing,...
May 04, 2021
Tags: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation
SEC Investment Management Withdraws, Modifies Staff Letters to Implement New Derivatives Rule
The SEC Division of Investment Management has announced in an Information Update that it is withdrawing or modifying over 30 SEC staff letters or statements relating to Sections 12(a) and...
April 13, 2021
Tags: Derivatives, Mutual Funds
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
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
FSOC Expresses Concerns with Fund Leverage and Redemptions
Not surprisingly, the 2020 annual report of the Financial Stability Oversight Council (FSOC) looks at the risk to the U.S. financial system through the lens of the unprecedented economic turmoil...
December 09, 2020
Tags: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds
Updated November 18, 2020 After some trial and error, the SEC has adopted an “updated and more comprehensive” rule to govern the use of derivatives by registered funds and has...
November 18, 2020
Tags: Derivatives, Fiduciary
IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling” May 6, 2020 While generally supporting the SEC’s comprehensive approach to modernizing regulation around...
May 06, 2020
Tags: Derivatives, Fiduciary
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
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
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