News & Analysis as of September 22, 2024

Commodity Pool › Fund Managers

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A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

CFTC Finalizes Long-Awaited Update to Rule 4.7

Lowenstein Sandler LLP on 9/19/2024

On September 12, the Commodity Futures Trading Commission (CFTC or Commission) published a final rule, adopting amendments to CFTC Rule 4.7, which provides exemptive relief from certain compliance obligations to registered...more

CFTC Amends Regulation 4.7, Increasing Dollar Threshold for QEP Qualification and Codifying Monthly Reporting Option for Funds of...

Alston & Bird on 9/18/2024

Our Investment Funds Group examines how the Commodity Futures Trading Commission (CFTC) has amended Regulation 4.7 to increase investor suitability standards and provide additional flexibility for funds-of-funds reporting....more

Update (2): The NY LLC Transparency Act and Corporate Transparency Act’s Impact on Private Fund Managers

Akin Gump Strauss Hauer & Feld LLP on 2/1/2024

In the weeks since publishing our original alert, FinCEN released several frequently asked questions (FAQs) on the application of the Corporate Transparency Act (CTA). Private fund managers are likely to find two of these...more

Material Investment Management Developments and Template Annual Compliance Checklists for Registered Investment Advisers, Exempt...

Lowenstein Sandler LLP on 4/7/2023

Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below. Summaries of recent legal developments with respect to: •SEC’s 2023 Examination Priorities- ...more

New Outsourced Compliance Guidance – Implications for CFTC-Registered Private Fund Managers

Akin Gump Strauss Hauer & Feld LLP on 7/15/2021

Key Point - As of September 30, 2021, private fund managers registered with the CFTC as CPOs or CTAs will be required, under new NFA guidance, to supervise certain third-parties performing regulatory functions. ...more

The Impact Of Rule 506(c) On Private Funds And Their Managers Who Are Legally Avoiding Full Registration As Commodity Pool...

Troutman Pepper on 9/5/2013

The Jumpstart Our Business Startups Act (JOBS Act) directed the U.S. Securities and Exchange Commission (SEC) to eliminate the prohibition against general solicitation or general advertising in any offering of securities...more

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