CFTC Issues Annual Guidance Letter Regarding CPO Reporting Requirements

more+
less-

The Division of Clearing and Intermediary Oversight (DCIO) of the Commodity Futures Trading Commission has issued its annual guidance letter to commodity pool operators (CPOs) and their accountants, summarizing annual CPO reporting obligations. The DCIO letter includes information regarding regulatory changes within the last year affecting CPOs, including the adoption by the CFTC of final regulations governing retail forex transactions and associated registration requirements, as well as the adoption by the National Futures Association (NFA) of Compliance Rule 2-46, which requires CPOs to be "fully registered" and Rule 4.7 exempt pools to file specified information with NFA on a quarterly basis. The letter also includes detailed guidance regarding the preparation and filing of CPO annual reports, including applicable deadlines and filing procedures.

Please see full article below for more information.

LOADING PDF: If there are any problems, click here to download the file.

Published In: Administrative Agency Updates, Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Katten Muchin Rosenman LLP | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »