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BLOGS. August 12, 2021

Navigating the Complexities of 18f-4 Compliance

Last year as capital markets shifted across the globe, it became clear that stronger risk management is needed to protect investors. With equity markets seeing deep downside and extreme volatility, the use of derivatives would either become a safe haven for the hedges they provided, or a curse for those who were using them for leverage and got caught on the wrong side. As derivatives continue to play a role in the asset management space, the need for a strong risk regulatory framework is as important as ever. In October 2020, the SEC issued their final rule on 18f-4, which would allow registered funds to utilize derivatives, as well as put a robust framework around ensuring the risks and impact of leverage were properly captured and monitored.

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