CFTC DSIO Issues FAQ on CPO and CTA Compliance

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Explore:  CFTC Compliance CPO CTA

On August 14, the CFTC Division of Swap Dealer and Intermediary Oversight issued a set of responses to frequently asked questions regarding compliance obligations for commodity pool operators and commodity trading advisers. The issues addressed include compliance dates, wholly owned subsidiaries, trading limits, and the process for transitioning from an exemption from registration to registering or claiming another exemption. CFTC Release. CFTC Proposed Rule.