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Compliance Checklist For Limited Derivatives Users – Finance and Banking – United States – Mondaq News Alerts

United States: Compliance Checklist For Limited Derivatives Users

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As has been our practice in this series on new Rule 18f-4, we end our survey of its Limited
Derivatives User requirements with a 
compliance checklist
. This checklist reiterates much of our
earlier post on Derivatives Exposure: Why It Matters And How To
Calculate It
, but provides more details and includes required
policies and procedures and steps required if a fund exceeds the
10% limit on its derivatives exposure. Given the length of the
checklist and the difficulty in controlling the format of printed
copies of this blog, we are providing the compliance checklist through a link to a

The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.

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