- Exemption From Registration for Certain Foreign Persons Acting as ...🔍
- Family Offices Receive Increased Regulatory Scrutiny ...🔍
- Simpler Rules for Commodity Pools🔍
- CFTC Adopts Amendments to Regulation 4.7🔍
- Regulation of Investment Advisers🔍
- CFTC Amendments to Registration and Compliance Rules🔍
- BDCs must reclaim relief from CPO registration🔍
- CFTC Finalizes Amendments to Exemptions for CPOs and CTAs ...🔍
CFTC Codifies Family Office Registration Relief
Exemption From Registration for Certain Foreign Persons Acting as ...
In 2018, the Commission proposed adding a new exemption in Commission regulation 4.13 to codify the relief provided in CFTC Staff Advisory 18-96 ...
AIMA and its members are supportive of the codification of the family office relief and are ... would be appropriate for the Commission to codify ...
Taken together, the amendments largely codify relief available under a number of existing CFTC staff no- ... family office exemption.
The CFTC proposes to condition all of the CPO registration exemptions in Regulation 4.13(a) – other than the family office exemption – on the ...
Family Offices Receive Increased Regulatory Scrutiny ... - Mondaq
CFTC Codifies Family Office Registration Relief. United States Finance · SJ. Steptoe LLP. Match. 46%. Read More About. Finance and Banking · Commodities/ ...
Simpler Rules for Commodity Pools | Portfolio for the Future | CAIA
They have codified Family Office No-Action Letters, thus exempting such offices from CPO or CTA registration;; They have allowed the general ...
CFTC Adopts Amendments to Regulation 4.7, Does Not Adopt ...
The final rule codifies routinely issued exemptive letters allowing ... Private Funds, Registered Funds, and Retail Clients. November 12 ...
Regulation of Investment Advisers - SEC.gov
partners, or any person serving in a similar capacity for the family office or its affiliated family office, ... adviser registered with the CFTC as a commodity ...
CFTC Amendments to Registration and Compliance Rules - Lexology
Family Office Exemption Claims. Family offices that engage in commodity interest trading have been able to rely on two CFTC no-action letters ...
BDCs must reclaim relief from CPO registration
On November 25, 2019, the Commodity Futures Trading Commission (CFTC) adopted several final regulations to codify existing exemptions from ...
CFTC Finalizes Amendments to Exemptions for CPOs and CTAs ...
... registration obligations under rules promulgated by the CFTC. While many private funds rely on the de minimis trading exemption under CFTC ...
CFTC Closes a Loophole for Exempt Commodity Pool Operators
... treatment between exempt and registered CPOs.” Statutory ... Although the exemption for “family offices” found in Regulation 4.13 ...
CFTC Updates Regulation 4.7 Without Adopting the Proposed ...
4.7), a rule that provides exemptions from the broader compliance requirements under Part 4 of the CFTC regulations (Part 4) for registered ...
CFTC no-action relief for family offices from CTA registration
CFTC no-action relief for family offices from CTA registration. RCW Staff -. November 25 2014. Share A- A+ 100%. TAGS; Commodity Futures Trading Commission ...
CFTC Proposes to Codify SEF Confirmation No-Action Relief ...
The comment deadline for the NPRM is 60 days following publication in the Federal Register. ... Keeping swap agreements private. Swap ...
CFTC Amendments to Registration and Compliance Rules
New Rule 4.13(a)(6) and new Rule 4.14(a)(11) substantially codify the CFTC's older CPO and CTA no action relief but, notably, neither of the new exemptions ...
Family Offices. Currently, CPOs and CTAs of family offices are eligible for relief from registration pursuant to, respectively, CFTC No ...
17 CFR Part 3 -- Registration - eCFR
(c) Sponsor. Sponsor means the futures commission merchant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool ...
Federal Register/Vol. 89, No. 85/Wednesday, May 1, 2024/Rules ...
years of CFTC staff no-action relief that led to the rule amendments codified today in the. SEF Confirmation Final Rule.2 I am pleased.
Why Your Investment Management Company May Soon Be a CFTC ...
13 A private fund is exempt from registration as an investment ... CFTC pointed out, however, that family offices have been relying on ...