Blog Posts — February 28, 2022

Video: Top analytical challenges risk managers face when implementing an SEC Derivatives Rule 18f-4

The deadline for the SEC 18f-4 Derivatives Rule is right around the corner. Are you prepared?

The SEC 18f-4 Derivatives Rule mandates all SEC-registered companies – from 40 act funds (mutual funds) to exchange-traded (leveraged and inverse) and business development companies (BDC) – implement a derivatives framework by August 19, 2022. If you haven’t already selected your risk management provider, then take a look at our videos before you do.

We have been helping a number of clients to comply not only with this near-term mandatory requirement, but also to establish a framework to seamlessly handle future regulatory needs. We’d like to share some of the top challenges you may come up against and the best practices you should follow before deciding on your risk management vendor.


Top analytical challenges risk managers face when implementing an SEC Derivatives Rule 18f-4 (Full Video)


SEC 18f-4 Rule: Outline of requirements


Top 3 challenges of implementing 18f-4 Rule framework


Regulatory reporting solutions for future filings


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