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Tag: Derivatives
ABA Publishes Recommendations for IC Use of Derivatives
July 20, 2010
At the 2009 Spring Meeting of the Business Law Section of the American Bar Association in Vancouver, Andrew J. Donohue, Director of the SEC's Division of Investment Management, challenged the ABA's Subcommittee on Investment Companies and Investment Advisers to address some specific concerns about investment… read more
SEC Issues Guidance on Fund Derivatives Disclosures
August 04, 2010
On July 30, 2010, Barry Miller, Associate Director in the SEC's Division of Investment Management, sent a letter to the Investment Company Institute providing guidance on derivatives related disclosures by investment companies. According to the letter, the guidance is being provided prior to the completion… read more
Law Firms Analyze New Regulation of Derivatives
September 07, 2010
The Dodd-Frank Act, the Wall Street Transparency and Accountability Act of 2010, imposes a broad new regime for regulating the financial services industry, including a new regulatory framework for derivatives, This new regime of regulation for complex securities and over the counter markets will have profound… read more
Donohue Outlines Derivatives Concerns for Funds
October 19, 2010
In a recent address before the 2010 Retirement Income Industry Association Awards Dinner, Andrew J. Donohue, the director of the SEC's Division of Investment Management, talked briefly about the direction his division is taking in looking at the way funds use derivatives. After reviewing some… read more
Lynch: Understanding Derivatives
April 22, 2011
Timothy E. Lynch, professor at the Indiana University Maurer School of Law - Bloomington, has published a paper designed to help make the complex world of derivative financial instruments more understandable to financial professionals and the lay community. His paper, "Derivatives: A Twenty-First Century Understanding,"… read more