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Fund Derivatives Rule: What Boards and Managers Need to Know

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Thursday, January 7, 2021
12:00 PM - 01:00 PM ET

The SEC recently adopted Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives.

Rule 18f-4, which applies to mutual funds (other than money market funds), exchange-traded funds registered under the Investment Company Act, and registered closed-end funds, as well as business development companies, responds to growth in the use, complexity, and variation of derivative instruments, and stands to substantially change the compliance and operations landscapes for funds and their boards of directors or trustees.

Join us for a one-hour webinar during which we will discuss how Rule 18f-4 will regulate registered fund investments in derivatives, what fund boards and fund managers need to do to prepare for Rule 18f-4, and the potential product development opportunities that the new rule represents.

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CLE credit: CLE credit in CA, FL, IL, OH, OR, NJ (via reciprocity), NY, PA, TX and VA is currently pending approval.