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Navigating the SEC's New Derivatives Rule

3rd Party Hosted Event
Date: 23 March 2021
Time: 10:00 AM - 11:00 AM ET
Location: via Webinar

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. 

Fatima Sulaiman and Shane Shannon are joining Confluence to discuss 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.


  • 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  
  • Confluence
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