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Jul 08, 2015

Proposed SEC Data Collection Rules Focus on Use of Derivatives by Asset Managers

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In the wake of the financial crisis, the Securities and Exchange Commission (SEC) adopted detailed data reporting rules for private funds on both Form ADV (2010) and Form PF (2011). In its continuing push to gather more asset management industry data, officials have been hinting for months that portfolio-level reports on investment adviser separate accounts and registered investment companies would be next. The SEC now intends to close these perceived gaps through a pair of rule proposals which, when taken together, suggest some of the strongest regulatory interest to date in how derivatives are used in the asset management industry.

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Authors and Contributors

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

New York