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SEC Division of Examinations Announces 2024 Priorities
The priorities inform investors and registrants of the key risks, examination topics, and priorities …
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CFTC Division of Market Oversight Director Testifies on Digital Assets
CFTC Director of the Division of Market Oversight, Vincent McGonagle, testified at a House Agriculture …
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CFTC Releases Request for Information on Climate-Related Financial Risk
The CFTC unanimously voted to release a Request for Information (RFI) that seeks public comment on …
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Gensler Delivers Remarks Covering Derivatives Markets at ISDA Annual Meeting
Gensler noted “I’ve asked our Division of Investment Management and Division of Examinations to take …
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K&L Gates Webinar: The Rise of the Derivatives Risk Manager, May 12 1 p.m. ET
On Thursday May 12, 2022, K&L Gates partner Michael W. McGrath will be speaking on a virtual panel for …
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Regulatory Refresh: Rules, Regs Going Effective in 2022
A list of Forum webinars on derivatives, valuation, and others, highlighting how these regulations will …
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Nicsa Webinar Sept. 16 at 2 p.m.: Answering the Big Questions on the Derivatives Rule
In this webinar a panel of experts, featuring IHS Markit, the SEC, and MFDF President Carolyn …
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MFDF Webinar: Board Oversight of a Fund’s Derivatives Risk Management and Fund Compliance With Rule 18f-4
During this webinar, Lance King, counsel at Seward & Kissel LLP, and Victor Frye, CCO at ProShares Advisors …
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IM Staff Withdraws Letters Issued Prior to Adoption of Derivatives Rule
Consistent with the adopted rule and the discussion in the related release, the staff is withdrawing …
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MFDF Webinar: Board's Responsibility of Derivatives
Join Ken Holston and Fatima Sulaiman, partners in the K&L Gates LLP's Asset Management and Investment …
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SEC Adopts Derivatives Rule and Related Amendments
Fund boards must approve the designation of a derivatives risk manager, who must report to the board …
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Analysis of Derivatives Proposal Sees More Active Role for Boards
Lawyers write that the proposal’s requirements for directors “would increase board members’ de facto …
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MFDF Webinar: The SEC's Derivatives Rule: What Fund Directors Should Know
The SEC proposed rule regulating investment company use of derivatives, if adopted, will be transformative …
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Sullivan Lawyers Review Derivatives Proposal; Dechert Explores ESG Complexities
Lawyers from Sullivan recently published a detailed overview of the hefty proposing release of the …
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Blass Calls for Industry Views on Derivatives Proposal, Affiliated Securities Lending
In a recent speech, the director of the SEC’s Division of Investment Management tallied the agency’s …
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SEC Re-Proposes Derivatives Regulation; Fund Board Role in Play
The SEC voted to propose a new rule designed to enhance the regulation of the use of derivatives by mutual …
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Clearing Firm Charged with Failing to Establish, Maintain Adequate Risk Management Policies
The Options Clearing Corp. will undertake remedial efforts and pay $20 million in penalties to settle …
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Derivatives Proposal Back on SEC Regulatory Agenda
ETFs and improved disclosures to investors are among items listed in the SEC’s Spring 2018 regulatory …
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ETFs on SEC's Regulatory Agenda; Business Continuity Withdrawn; Derivatives Off Short-Term List
The SEC recently released its fall 2017 regulatory flexibility agenda with some expected line items and …