- CFTC Issues No|Action Relief from Commodity Pool Operator ...🔍
- CFTC Implements Substituted Compliance Approach for Commodity ...🔍
- Proskauer's Hedge Start🔍
- Request for rulemaking under the Securities Act of 1933 to permit ...🔍
- CFTC Proposes Amendments to CPO🔍
- Registration of associates of futures commission merchants ...🔍
- End of Summer Pool Party🔍
- Commodity Pool Status of Certain Companies Entering into Swaps🔍
Registration and Compliance Requirements for Commodity Pool ...
CFTC Issues No-Action Relief from Commodity Pool Operator ...
In connection with the aforementioned changes, however, an investment by a BDC in even one swap contract could “trigger” the CPO registration ...
CFTC Implements Substituted Compliance Approach for Commodity ...
... registered investment companies ("RICs") required to register as commodity pool operators ("Registered CPOs"). The final rules (the "Rules
Proskauer's Hedge Start: When Is CFTC Registration Necessary?
... registration with the U.S. Commodity Futures Trading Commission (CFTC) will be required. ... pool engaged primarily in trading in commodities.
Request for rulemaking under the Securities Act of 1933 to permit ...
criteria for commodity pool offerings required to register their securities in the various States. ... worth requirements for pool participants, ...
CFTC Proposes Amendments to CPO, CTA Regulations | WilmerHale
... compliance requirements for commodity pool operators (CPOs) and commodity trading advisors (CTAs).1 The CFTC prepared the Proposed Rule to ...
Registration of associates of futures commission merchants ...
Any individual who is registered as a floor broker, futures commission merchant, introducing broker, commodity pool operator, or as an associated person of ...
End of Summer Pool Party: CFTC Approves Final Rule Amending ...
The rule is effective 60 days after publication in the Federal Register, with compliance required six months post-publication for the updated ...
Commodity Pool Status of Certain Companies Entering into Swaps
Recently the CFTC stated, “any swaps activities undertaken by a [commodity pool operator] would result in that entity being required to register ...
CFTC Extends Phase 5 Compliance Date for Its Initial Margin Rules ...
Section 4m(1) of the Commodity Exchange Act (CEA) generally requires a person that meets the definition of a “commodity pool operator” under CEA ...
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors, 83. Fed. Reg. 52,902 (Oct. 18, 2018). 3.
Market Turmoil May Cause Fund Managers to Breach Commodity ...
Operators of investment funds that trade commodity interests 1 (commodity pools) are required to register with the US Commodity Futures Trading Commission ( ...
NFA/CFTC Compliance Solutions for CTA/CPO | US
... registration and ongoing Commodity Futures Trading Commission (“CFTC”) compliance obligations. We specialize in guiding Commodity Pool Operators (“CPO”) and ...
All Advisers to Registered Investment Companies Need to Evaluate ...
These rules set out compliance obligations for commodity pool operators (CPOs) and commodity trading advisers (CTAs) and create certain exemptions from CPO and ...
Plan Fiduciaries Might Need to File a Notice to Avoid Registration ...
Several changes to the definition of “commodity pool operator” could require fiduciaries of retirement plans to file for an exemption from ...
#6 JOHN W. HENRY & COMPANY, INC. 301 YAMATO ROAD ...
The registration requirements for a commodity pool operator include ... and, since that database is part of a coherent regulatory system for ...
The Dodd-Frank Act May Require Registration as a "Commodity ...
The CEA requires that a non-exempt pool operator: (i) register as a CPO with the CFTC; (ii) become a member of the National Futures Association (“NFA”) by ...
CFTC Rule Changes to Affect Many Commodity Pool Operators
CFTC Registration and NFA Membership As a result of the new regulations adopted on February 8, 2012, many private fund managers will have to ...
Small Entity Compliance Guide - FinCEN
reporting requirements?” Page 12. Beneficial Ownership Information ... Commodity Exchange Act registered entity (Exemption #14). An entity qualifies ...
U.S. Corporate Transparency Act: A Worksheet for Private Fund ...
Exempt from CTA reporting are any commodity pool operator or ... compliance with customer due diligence requirements. For More ...
questions regarding the compliance obligations of commodity pool ... registered and that the commodity pool does not have direct organizational,.