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A Buy-Side Guide to Regulatory and Transactional Issues Related To Derivatives and Repurchase Agreements

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Compliance Checklist for Limited Derivatives Users

By Stephen A. Keen & Andrew P. Cross on September 23, 2021
Posted in Mutual Funds and Investment Advisers

As has been our practice in this series on new Rule 18f-4, we end our survey of its Limited Derivatives User requirements with a compliance checklist. This checklist reiterates much of our earlier post on Derivatives Exposure: Why It Matters And How To Calculate It, but provides more details and includes required…

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The Derivatives and Repo Report offers insights into regulatory and transactional issues related to derivatives and repurchase agreements. Our goal is to provide meaningful and timely information to buy-side market participants, including: mutual funds, hedge funds, exchange-traded funds (ETFs) and their investment advisers; corporate end users; nonswap dealer banks; and other end users of derivatives and repurchase agreements.

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