Funds Talk: October 2019

Topics covered in this issue include: 

• Risk.net: CDS Fix Seeks Support for January Lift-Off
  ISDA has implemented changes designed to deter traders of credit default swaps from running narrowly tailored credit events in the CDS market. Fabien Carruzzo talks with Risk.net about what this means for market participants.
  
  
• Employers – Will You Be in Compliance With Sexual Harassment Laws by Oct. 9, 2019?
  In 2018, New York State and New York City each passed laws requiring employers to provide annual, interactive sexual harassment-prevention training to all employees, which must be completed by Oct. 9, 2019. In these alerts, Kevin Leblang, Izabel McDonald, Christine Chu and Amelia Munger break down the laws and the requirements for training.

• OCIE Informs Advisers of Principal and Agency Cross Trading Compliance Deficiencies
  How can investment advisers clearly demonstrate that they are placing their clients’ interests first when it comes to trading assets between their clients’ accounts and their own, or when they are acting as a broker for a third party in a transaction involving a client’s assets? Kevin Scanlan summarizes the SEC OCIE alert and key takeaways.