News & Analysis as of September 21, 2024

No-Action Relief

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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 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 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

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

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Commodity Pool › Swap Dealers › No-Action Relief

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

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

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...

Orrick's Financial Industry Week in Review

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

Commodity Pool › Swap Dealers › No-Action Relief

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