SEC and CFTC – Living in Peace and Harmony?: The CFTC's Harmonization Rules

09/04/2013 09:30 a.m. - 10:20 a.m. EDT

Banking + Financial Services, Corporate Finance | Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, and Investment Management

Webinar

For presentation materials, click here.

The CFTC and the SEC appear to have put their disagreements behind them, at least for now. In August, the CFTC finalized its rules to harmonize the compliance obligations of investment advisers of registered investment companies that are commodity pools. Contemporaneously, the SEC’s Division of Investment Management published guidance for registered funds that use derivatives. We will provide an overview of the CFTC’s final rules, the SEC’s guidance, compliance dates, and the implications for funds that use derivatives and their advisers.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2019 Morrison & Foerster LLP. All rights reserved.