- CFTC Codifies Family Office Registration Relief🔍
- CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for ...🔍
- CFTC Adopts Family Office Exemption🔍
- New Year Brings New Responsibilities for Some Asset Managers ...🔍
- CFTC Codifies Registration and Reporting Relief for Commodity ...🔍
- CFTC Provides Family Office CTA Registration Relief and Limited ...🔍
- CFTC codifies relief for CPOs and CTAs🔍
- CFTC Amends Regulations Applicable to Asset Managers Including ...🔍
CFTC Codifies Family Office Registration Relief
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 ( ...
CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for ...
Family Offices: New Regulations 13(a)(6) and 4.14(a)(11) were adopted codifying relief previously granted to family offices from commodity pool ...
Please see our client memorandum entitled “CFTC Proposes to Codify Prior Relief For CPOs and CTAs” (Oct. ... registration exemptions for CPOs and ...
New Year Brings New Responsibilities for Some Asset Managers ...
The CFTC amended Rule 4.5 to codify CFTC Staff Letter 12-40, which granted relief to operators of BDCs from registration as a CPO. Amended Rule ...
The amendments provide an exemption from registration for CPOs and CTAs of family offices; adopt exemptive relief consistent with the Jumpstart Our Business ...
CFTC Codifies Registration and Reporting Relief for Commodity ...
adoption of CPO and CTA registration exemptions under CFTC Rules 4.13(a)(6) and 4.14(a)(11) for qualifying family offices, in line with the ...
CFTC Provides Family Office CTA Registration Relief and Limited ...
... CFTC's proposed Regulation 1.35(a) amendments to codify the temporary recordkeeping relief. No action is required to claim this no-action relief. As ...
CFTC codifies relief for CPOs and CTAs, harmonizing rules with ...
CFTC codifies relief for ... registration and compliance relief to certain ... Berkovitz also stated that the registration obligations for family offices ...
CFTC Amends Regulations Applicable to Asset Managers Including ...
Codify existing no-action relief regarding CPO and CTA registration with respect to family offices;; Update Rules 4.13(a)(3) and 4.7 to ...
CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for ...
Exemptions from CPO and CTA registration for “family offices,” as defined in Securities and Exchange Commission (“SEC”) rules, adopted as new ...
CFTC Simplifies Rules for Asset Managers - Kleinberg Kaplan
The CFTC's current amendments codify the relief granted in the Family Office No-Action Letters. To further the harmonize CFTC and SEC rules ...
CFTC Proposes to Codify Relief for CPOs and CTAs - K&L Gates
... CFTC Regulation 4.13, except for the new Family Office exemption. ... [15] CFTC Regulation 4.7(b) provides relief to registered CPOs from ...
4.14. Like the other exemptions available under Sec. 4.13, the. Commission is proposing to require Family Offices claiming relief from. CPO registration to file ...
CFTC Staff Provides Family Offices With No-Action Relief From Commodity. Trading Advisor Registration. On November 4, 2014, the CFTC Division of Swap Dealer ...
CFTC Adopts Amendments to CPO and CTA Registration and ...
The amendments are effective on January 9, 2020. JOBS Act Amendments and Family Offices. The final amendments provide for: Exemptive relief ...
... codifying relief previously granted to family offices from CPO and CTA registration through CFTC Letters 12–. 37 and 14–143. • The rules rely ...
CFTC Finalizes Regulation Amendments: Certain Registered and ...
These amendments codify CFTC staff no-action relief under CFTC No-Action Letters No. ... registered funds, BDCs or family offices invest with ...
News & Notices | NFA - National Futures Association
The proposal also seeks to codify existing CFTC staff no-action relief and other regulatory guidance. ... Family Office No Action Letter and the ...
Statement of Chairman Heath P. Tarbert Before the November 25 ...
... Family Offices” under Securities and Exchange Commission (SEC) rules, consistent with past CFTC staff no-action relief. This rulemaking also ...
CFTC and NFA Update Rules Affecting Investment Managers
Many Family Offices then requested case-by-case CPO and CTA registration and reporting relief from the CFTC. While the SEC issued post-Dodd- ...