Registration and Compliance Requirements for Commodity Pool ...

The Commodity Futures Trading Commission (CFTC or Commission) is adopting certain amendments containing the regulations applicable to ...

The Commodity Futures Trading Commission (CFTC or Commission) is adopting certain amendments to its regulations applicable to commodity pool ...

Commodity Pool Operator (CPO) Registration | NFA

Registration Requirements for Principals and Associated Persons (AP) of CPOs · Complete online Form 8-R for each principal and AP · Submit fingerprint cards ...

Commodity Pool Operator (CPO) Regulatory Obligations | NFA

Commodity Pool Operator (CPO) Regulatory Obligations · Annual CPO Requirements · Books and Records · Business Continuity and Disaster Recovery · Cybersecurity ...

CFTC Approves Final Rule Regarding Exemptions from Certain ...

CFTC Approves Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and ...

Becoming a Commodity Pool Operator - Registration Requirements

We are often asked for budgeting and requirements for registering with the National Futures Association (NFA) as a Commodity Pool Auditor (CPO).

Check Registration & Backgrounds Before You Trade | CFTC

Before working with any person or firm to trade in commodity futures, commodity pools, options, forex, or other derivatives, verify that the entity is ...

Federal Register/Vol. 85, No. 131/Wednesday, July 8, 2020/Rules ...

10, 2019); and Registration and Compliance. Requirements for Commodity Pool Operators. (CPOs) and Commodity Trading Advisors: Family. Offices ...

Complying with the CFTC's New Statutory Disqualification Bar for ...

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions Under ...

Commodity Pool Operator Registration FAQ - Riveles Law Group

Commodity Pool Operator Registration for Hedge Fund Managers: Frequently Asked Questions · Annual Requirements · Financial Reporting Requirements · Disclosure ...

US Commodity Pool and Commodity Pool Operator Regulation

• Commodity pools are not required to register under the CEA. Rather ... • For funds, compliance with SEC rules may be sufficient for compliance ...

US Derivatives Regulation: Commodity Pool Operator (CPO) Toolkit

§ 1a(11)(A)) and under Section 4.10(d) of the. Commodity Futures Trading Commission (CFTC) regulations (17 C.F.R. § 4.10(d)). Pool operators include private ...

1 COMMODITY POOL OPERATOR REGISTRATION AND ONGOING ...

This guide is meant to provide an overview for private fund managers of the registration and regulatory requirements applicable to CPOs and their personnel, as ...

CFTC Requirements for Commodity Pool Operators (CPOs) and ...

A Practice Note explaining CFTC rules for commodity pool operators (CPOs) and commodity trading advisors (CTAs), including registration, reporting, ...

Exemptions From Commodity Pool Operator Registration

A fund manager that is exempt from CPO registration will not be required to become an NFA Member and will not be subject to NFA's bylaws or compliance rules.

CFTC Comment: Registration and Compliance Requirements for ...

Among other provisions, the Proposal proposes an exemption that would permit a Commodity Pool Operator (“CPO”) that accepts funds solely from ...

CFTC Streamlines Regulations for Commodity Pool Operators and ...

... commodity pools to claim an exemption from CPO registration and compliance requirements with respect to such pools, while permitting the ...

CFTC Adopts Significant Changes to CPO and CTA Registration ...

CFTC Adopts Significant Changes to CPO and CTA Registration and Compliance Requirements ... commodity pool operators (CPOs) and commodity ...

CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for ...

Registered CTAs that either (a) do not direct the trading of any commodity interest accounts or (b) direct only the accounts of commodity pools ...

Registration and Compliance Requirements for Commodity Pool ...

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors · TAGS · Advertising/Marketing · Books and ...