News & Analysis as of September 19, 2024

Commodity Pool › Private Funds

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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

Proskauer's Hedge Start: What Key Exemptions Apply to Hedge Funds?

Proskauer Rose LLP on 6/13/2024

We have separately discussed the common exemptions from registration of a fund manager with the Securities and Exchange Commission (SEC) as an investment adviser and from registration with the Commodity Future Trading...more

US Regulatory Authorities Look to Increase Hedge Funds’ Transparency and Stability

Barnea Jaffa Lande & Co. on 2/27/2024

In early February 2024, the Commodities Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) announced new disclosure rules. These rules will apply to hedge funds and to managers of other private...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

2022 Compliance Developments and Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 2/10/2022

Compliance Reminders for 2022 - Registered investment advisers to private funds clients are required to make filings with the Securities and Exchange Commission (SEC) each year and deliver certain information to their...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

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds - January 2019

Dechert LLP on 1/31/2019

The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more

2016 Annual Compliance Dates: SEC-Registered Investment Advisers To Private Funds

Bryan Cave Leighton Paisner on 1/20/2016

In 2010 the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) eliminated the private fund adviser exemption. Prior to Dodd-Frank, many managers to hedge funds and private equity funds relied on this...more

Investment Management Legal + Regulatory Update -- October 2013

Morrison & Foerster LLP on 10/24/2013

- Regulatory Updates: CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that are Commodity Pools; SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Investment...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

Mandatory Clearing of iTraxx CDS Indices for Category 2 Entities Began July 25

Katten Muchin Rosenman LLP on 7/30/2013

The Division of Clearing and Risk of the Commodity Futures Trading Commission announced that commodity pools, private funds (other than active funds) and certain other persons predominantly engaged in banking or financial...more

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Commodity Pool › Private Funds

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