In the wake of the COVID-19 Pandemic, the SEC has taken emergency steps to address disruption for registered advisers but will also be focusing on certain behaviors to ensure that investors are protected. LSTA hosted a webinar that addressed both these points including some of the following topics:
- Temporary Relief Provided by the SEC
- Business Continuity Plans
- Liquidity Risk Management
- Valuation, Pricing Vendor Oversight, And Fair Value Decision Making
- Side-by-Side Management, Trade Allocation and Cross-Trades
- Counterparty Credit Monitoring
- Updating Risk Disclosures
Speakers:
- Phillip Gillespie—Senior Counsel, WilmerHale
- Amy Doberman—Partner, WilmerHale
- Elliot Ganz—General Counsel, LSTA
