CPO and CTA Exemptions and Exclusions

Significant Changes to CFTC Regulations Impacting Private Fund ...

• Exclusions and Exemptions from CPO Compliance. Obligations Without ... If an entity is registered as a CPO or CTA, its “principals” and.

cftc-significantly-limits-the-exemption-from-commodity-pool-operator ...

... CPOs or CTAs. The Final Rule significantly curtails the CPO registration exclusion under Rule 4.5 and rescinds the CPO and CTA registration.

Proskauer's Hedge Start: When Is CFTC Registration Necessary?

CFTC Rule 4.13(a)(3), which is often referred to as the “limited trading exemption,” provides a basic exemption from CFTC registration as a ...

Commodity Pool Operators and Commodity Trading Advisors ...

Although CFTC-registered entities (including CPOs and CTAs) are exempt from these requirements (see 31 U.S.C. §5336(a)(11)(B)(xiv)), certain ...

The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)

Currently, CPOs and CTAs, that are registered pursuant to CFTC Regulation 4.7, are exempt from certain disclosure, reporting, and recordkeeping ...

CFTC Codifies Family Office Registration Relief - Steptoe

Qualified family offices now have regulatory certainty that CPO/CTA registration with the CFTC, and thus with the National Futures Association ( ...

Changes to CFTC Regulations Affecting Private Funds

For CPOs and CTAs that are currently not relying on CFTC Rule 4.13(a)(4), the deadline for de minimis exemption filing or registration, unless ...

CFTC Proposes Amendments to Conditional Exemptions for ...

CPOs and CTAs are required to register with the CFTC, unless an exemption or exclusion from registration is available.4 Registered CPOs and CTAs ...

CFTC Amendments to Registration and Compliance Rules

required by those exemptions. Form CPO-PQR and CTA-PR Exclusions for Reporting Persons. The CFTC's new amendments to Regulation 4.27(b) substantively codify ...

CFTC Finalizes Long-Awaited Update to Rule 4.7 (IM)

Under Rule 4.7, registered CPOs and CTAs that offer pools or advisory services solely to QEPs are exempt from delivering general, risk, and ...

CFTC Eliminates and Narrows Key Exemptions for Commodity Pool ...

Exemptions and Exclusions. Under the final rules, all entities claiming exclusions or exemptions from CPO or CTA registration under Rules. 4.5 ...

CFTC Amends Foreign CPO Registration Exemption - Sidley Austin

allow a non-U.S. CPO to rely on the Rule 3.10(c) CPO registration exemption with respect to qualifying non-U.S. commodity pools, while relying ...

NFA Guidance on CPO / CTA Yearly Exemption Affirmations

You will need to affirm each applicable exemption on an annual basis, within 60 days after December 31. NFA will provide an annual email ...

The CFTC's First Round of KISS Proposals for CPOs and CTAs ...

With respect to the second goal, the Proposing Release states that the proposed exemption is intended to provide more comprehensive relief for ...

Final Rules Regarding CPOs and CTAs: Additional Exemptions ...

The CPO claiming an exemption may net contracts with the same underlying commodity across designated contract markets, registered derivatives transaction ...

Morgan Lewis Hedge Fund University™ Commodity Pool ...

• CPO/CTA Registration and Exemptions. – Rule 4.13(a)(3) de minimis ... “Security-based swaps” are excluded from the definition of “swap.

CFTC adopts significant changes to CPO and CTA registration and ...

eligibility for exemptions and exclusions from CPO and CTA registration, and an initiative to harmonize. CPO reporting, disclosure, and recordkeeping ...

Commodity Pool Operator Registration FAQ - Riveles Law Group

A CPO claiming rule 4.5 exemption must file of notice of the exemption with the NFA and make certain disclosures to the investors in the pool. Rule 4.7. This ...

PLI's Commodity Pool and CPO Regulation - Mayer Brown

PLI's Commodity Pool and CPO Regulation – Staying within the Exemptions and Exclusions · The commodity pool definition and related CTA definition ...

CFTC Provides Relief to Funds of Funds - Casetext

... CTAs”) and increasing the reporting requirements for registered CTAs and CPOs.2. Current CPO Exemptions Which Require Limited Futures Trading.