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Event Date Mon Oct 25 EDT (about 1 month ago)
Location USA
Region Americas

The U.S. Securities and Exchange Commission’s new rule governing the use of derivatives by registered investment companies and business development companies imposes a new compliance and risk management framework with significant responsibilities for investment advisers that use derivatives as part of their investment strategies. Liquid alts strategies that rely on derivatives will be subject to the full requirements of the new rule when compliance is required from August 19, 2022.

To help investment advisers work through the procedural steps required to come into compliance, AIMA, with the assistance of K&L Gates LLP, has prepared a guide to the new derivatives rule, including practical considerations for investment advisers as they develop a derivatives risk management program.

Join us for a discussion of the practical aspects of implementing the new rule’s requirements and the challenges for derivatives risk management programs for liquid alts strategies.


2021 Speakers

Amanda Wagner
Branch Chief, Division of Investment Management, U.S. Securities and Exchange Commission

Stephen Humenik
Partner, K&L Gates

Matthew Rogers
Associate, K&L Gates

Fatima Sulaiman
Partner, K&L Gates

Jennifer Wood
Managing Director, Global Head of Asset Management Regulation & Sound Practices, AIMA

Sponsors & Partners

2021 Sponsor

• K&L Gates