Regulatory Refresh: Rules, Regs Going Effective in 2022

As the 2022 calendar gets underway, fund complexes will implement requirements from several regulatory actions they have been preparing for over the last couple of years. Below is a list of Forum webinars on derivatives, valuation, and others, highlighting how these regulations will affect the oversight of funds in the coming year. 

Webinar Archive: Board’s Responsibility and Derivatives Rule

Ken Holston and Fatima Sulaiman, partners in the K&L Gates LLP’s Asset Management and Investment Funds Practice, discussed the board’s responsibilities under the new derivatives rule. The webinar originally aired on Thursday, January 14, 2021. Click here to log in and view.

Webinar Archive: Board Oversight of a Fund’s Derivatives Risk Management and Fund Compliance With Rule 18f-4

Lance King, counsel at Seward & Kissel LLP, Victor Frye, CCO at ProShares Advisors LLC, discussed the board’s role in overseeing a fund’s derivatives risk management program and compliance with the new Rule 18-f-4.  This webinar originally aired on Monday, May 24, 2021. Click here to log in and view.

Webinar Archive: A New Fair Valuation Framework for Fund Directors

Thoreau Bartmann, Senior Special Counsel, Rulemaking, in SEC’s Division of Investment Management; Paul Kraft, a partner at Deloitte; and Paulita Pike, a partner at Ropes and Gray delivered an overview of the SEC’s recently adopted rule on Good Faith Determinations of Fair Value. This webinar originally aired on Wednesday, February 3, 2021. Click here to log in and view.

Webinar Archive - Investment Valuation and Governance: Deloitte's 19th Annual Fair Valuation Survey

Paul Kraft, Tom Wines, and Katie Yorra discussed the latest findings from Deloitte's 19th edition Annual Fair Valuation Survey, including how firms are preparing for implementation. This webinar originally aired on December 8, 2021. Click here to log in and view.

Webinar Archive: Putting the Fun in Fund of Funds

This webinar presented by Elizabeth Reza of Ropes and Gray, Trevor Swanberg of John Hancock, and Kevin Gleason of Voya Funds, covered issues that arise in overseeing funds of funds including the possible need to obtain exemptive relief, the use of proprietary underlying funds or third party funds, considerations that arise in connection with the share class structure and pricing of funds of funds (including as part of the annual contract renewal process) and other related topics.  This webinar originally aired on Wednesday, September 30, 2020. Click here to log in and view.