The new SEC derivatives rule requires a comprehensive derivatives risk management policy that includes complex stress testing and backtesting requirements, among other elements. Read more about the SEC’s new regulatory framework for derivatives used by registered funds and business development companies.
The SEC Is Nervous About Options
On February 23, 2018, Commissioner Kara M. Stein gave a speech about broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.
Announcing a Strategic Partnership That Offers Timely SEC Derivatives Rule Compliance
Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.