Webinar: Navigating the SEC’s new derivatives rule

In October 2020, the SEC adopted Rule 18f-4 under the 1940 Act designed to establish a comprehensive framework towards the use of derivatives by registered funds.

The rule is set to enhance the regulation of the use of derivatives with a compliance date in the summer of 2022.

On 23 March we hosted an interactive webinar where our panel of experts from K&L Gates and Confluence discussed the derivatives rule, its implications on funds, asset managers, and service providers, and the key things firms need to keep in mind as they plan ahead for the rule.

Agenda:

Overview of the rule
Comparing the rule to existing European measures
Implications for fund managers in the United States and their service providers
Factors to consider when planning next steps for compliance

SPEAKERS

Fatima S. Sulaiman

Partner, K&L Gates

Fatima Sulaiman provides legal advice to investment companies, their independent directors, and investment advisers on transactional, regulatory, and compliance matters.

Shane C. Shannon

Associate, K&L Gates

Shane Shannon focuses his practice on representing registered investment companies, their independent board members, and investment advisers on a broad range of regulatory, transactional, and compliance matters arising under the U.S. federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Exchange Act of 1934. He works closely with clients to adapt to new SEC rules affecting the asset management industry.

Tom Pfister

VP of Global Product Strategy, Confluence

As Vice President of Global Product Strategy, Tom handles Confluence’s global product development and strategy for performance and analytics, risk, regulatory reporting, data technology and investor communications. Since joining Confluence in 2007, he has held several roles including Global Head of Regulatory Reporting Solutions and positions in the Product Design and Services divisions. Tom earned a bachelor’s degree in Finance from the Tepper School of Business at Carnegie Mellon University.

Chantal Mantovani

Product Manager, Regtech and Fixed Income Analytics, Confluence

Chantal joined StatPro, now Confluence, in 2010 as Head of Client Services Italy / Risk & Performance Consultant. As Product Manager for RegTech and Fixed Income Analytics at Confluence, Chantal has extensive knowledge and expertise in the areas of market risk, credit risk, liquidity risk, stress testing, back-testing, quality assurance of new pricing functions, performance measurement and RegTech solutions, including UCITS and AIFMD.