3f. IA/IC – Exchange-Traded Products (Intermediate)
This session will address the changing regulatory environment for those advising exchange-traded products. Speakers will explore the impact of existing regulation and exemptive relief.
- Understand the timing, impact and compliance differences between fully transparent ETF exemptive relief orders and Rule 6c-11 (the ETF Rule)
- Discuss exemptive relief orders approved for different types of semi-transparent ETFs and the impact on compliance programs
- Address the changes to exchange listing standards for ETFs
- Discuss best practices in the oversight of ETF specific third parties such as lead market makers, authorized participants, index providers and more