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Risk Management Principles for Use of Derivatives in Registered Funds

GARP recently responded to an SEC request for comments on its proposed rule on the Use of Derivatives by Registered Investment Companies and Business Development Companies. In an effort to ensure that the SEC's rule supports the best interests of fund investors and reflects a practitioner orientation, GARP outlined 11 risk management principles that could serve as a risk management foundation for any retail investment fund.

December 3, 2021

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