Commodity Pool, CFTC, No-Action Relief

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for Family Offices, BDCs

Proskauer Rose LLP on 1/7/2020

On November 25, 2019, the Commodity Futures Trading Commission (CFTC) approved final rule amendments intended to simplify certain existing CFTC rules, codify certain previously granted no-action relief, and better coordinate...more

CFTC Proposes to Simplify, Modernize Commodity Pool Operator and Commodity Trading Advisor Regulations

Skadden, Arps, Slate, Meagher & Flom LLP on 11/14/2018

On October 18, 2018, the Commodity Futures Trading Commission (CFTC) published a proposal in the Federal Register (Proposed Rule) to amend several key compliance and registration regulations governing commodity pool operators...more

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

K&L Gates LLP on 2/7/2017

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool operators (“CPO”) under the Commodity Exchange Act that operate commodity pools...more

CFTC Proposes Permanent Registration Relief to Certain Non-US Asset Managers

Morgan Lewis on 8/4/2016

The amendments to the CFTC’s registration rules will codify no-action relief that permits non-US asset managers to rely on an exemption from the requirement to register with the CFTC by virtue of trading uncleared swaps in...more

CFTC Staff Clarifies Registration Relief Available to Non-US Asset Managers

Morgan Lewis on 2/22/2016

No-action relief confirms that non-US asset managers may rely on an exemption from CFTC registration when trading uncleared swaps in the United States for the accounts of their non-US clients, an issue that had been in doubt...more

CFTC Staff Provides No-Action Relief from Registration to Certain Intermediaries Located Outside of the U.S.

Orrick - Finance 20/20 on 2/22/2016

On February 12, the U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight provided “no-action relief from registration” to a specific subset of individuals: “persons located outside...more

CFTC Staff Issues No-Action Relief Helpful for Non-U.S. Commodity Pool Operators and Commodity Trading Advisors

Dechert LLP on 2/19/2016

The U.S. Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) provided no-action relief on February 12, 2016 to commodity pool operators (CPOs) and commodity trading advisors...more

"CFTC Staff Provides Foreign Intermediary Registration Relief for Foreign Customers' Uncleared Swaps"

Skadden, Arps, Slate, Meagher & Flom LLP on 2/17/2016

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (CFTC) has issued no-action relief from the requirement to register as an introducing broker (IB), commodity trading advisor...more

CFTC Announces Self-Executing No-Action Relief for Delegating CPOs

Proskauer Rose LLP on 10/21/2014

On October 15, 2014, the Commodity Futures Trading Commission (CFTC) issued a no-action relief letter granting self-executing registration no-action relief to qualifying commodity pool operators (CPOs) that delegate their CPO...more

Registration Relief for Some Delegating CPOs

Carlton Fields on 10/2/2014

In May, the Commodity Futures Trading Commission (CFTC) staff announced a streamlined process that allows persons seeking no-action relief to avoid registering as commodity pool operators (CPOs). They must, however, designate...more

Orrick's Derivatives in Review - July 2014

Orrick, Herrington & Sutcliffe LLP on 7/3/2014

Extension of Certain Dodd-Frank No-Action Relief - The CFTC recently established a phased compliance timeline for the implementation of the execution requirement currently applicable to certain interest rate swaps and...more

Corporate and Financial Weekly Digest - Volume IX, Issue 23

Katten Muchin Rosenman LLP on 6/9/2014

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

K&L Gates LLP on 6/9/2014

The Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or the “Commission”) recently issued CFTC Letter No. 14-69 (May 12, 2014) (the “Letter”), which...more

CFTC Staff Announces Streamlined No-Action Relief Process for Certain CPOs

Katten Muchin Rosenman LLP on 5/21/2014

On May 12, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight announced a streamlined process that will allow a commodity pool operator (CPO) that has delegated investment management...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/19/2014

CFTC Announces New Approach for Considering Requests for Relief from Registration for Delegating Commodity Pool Operators - On May 12, CFTC Division of Swap Dealer and Intermediary Oversight announced a streamlined...more

NFA Requires Notice Filing from Registered Fund CPOs Reporting on a Consolidated Basis for Registered Fund Pools and Their...

Goodwin on 11/21/2013

The National Futures Association (the “NFA”) issued Notice to Members I-13-36 (the “NFA Notice”) which is directed at any commodity pool operator (“CPO”) of a registered investment company (a “RIC”) that has filed a notice...more

Commodity Pool › Commodities Futures Trading Commission › No-Action Relief

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for Family Offices, BDCs

CFTC Proposes to Simplify, Modernize Commodity Pool Operator and Commodity Trading Advisor Regulations

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

CFTC Proposes Permanent Registration Relief to Certain Non-US Asset Managers

CFTC Staff Clarifies Registration Relief Available to Non-US Asset Managers

CFTC Staff Provides No-Action Relief from Registration to Certain Intermediaries Located Outside of the U.S.

CFTC Staff Issues No-Action Relief Helpful for Non-U.S. Commodity Pool Operators and Commodity Trading Advisors

"CFTC Staff Provides Foreign Intermediary Registration Relief for Foreign Customers' Uncleared Swaps"

CFTC Announces Self-Executing No-Action Relief for Delegating CPOs

Registration Relief for Some Delegating CPOs

Orrick's Derivatives in Review - July 2014

Corporate and Financial Weekly Digest - Volume IX, Issue 23

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

CFTC Staff Announces Streamlined No-Action Relief Process for Certain CPOs

Orrick's Financial Industry Week in Review

NFA Requires Notice Filing from Registered Fund CPOs Reporting on a Consolidated Basis for Registered Fund Pools and Their...

CFTC No-Action Relief for Securitizations from Commodity Pool Operator Registration

"CFTC Staff Provides Mortgage REITs With No-Action Relief From Commodity Pool Operator Registration"

CFTC Issues Broad Securitization Industry Relief on Commodity Pool Regulation

"CFTC Staff Provides Funds-of-Funds With Temporary No-Action Relief From Commodity Pool Operator Registration"

CFTC Grants CPO Registration No-Action Relief to Business Development Companies

CFTC Issues No-Action Relief from Commodity Pool Operator Registration Requirements for Business Development Companies

CFTC Staff No-Action Relief for Family Offices and Fund of Funds Operators

"CFTC Staff Provides Family Offices With No-Action Relief From Commodity Pool Operator Registration"

Commodity Pool › Commodities Futures Trading Commission › No-Action Relief

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