In This Presentation:
- JOBS Act
- Rescinded Exemption for Pools with Highly Sophisticated Investors
- Rescinded Exemption for Pools with Highly Sophisticated Investors: Uncertain Futures
- Commodity Pool Definition
- CPO vs. CTA
- Definition of CPO
- Definition of CTA
- Regulation 4.13(a)(3) Conditions
- CTA Exemptions
- Exemption for Persons Who Operate Pools Composed Solely of “QEPs”
- Exemption for Persons Who Provide Advice to QEPs
- Registration as CPO and/or CTA
- APs & Principals: Definitions and Responsibilities
- CPO/CTA Compliance Obligations
- NFA By-Law 1101
- Due Diligence on Underlying Managers
- Other Compliance Obligations
- Transition and Compliance Issues
- Steps to Take Now
Please see full presentation below for more information.
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