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Commodity Pool Operator › Commodities Futures Trading Commission › Investment Companies

Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption under... more +
Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption under the Commodity Futures Trading Commission regulations.  less -
Dechert LLP

CFTC Adopts New CPO Rules for Registered Investment Companies and Others

Dechert LLP on

Introduction - The U.S. Commodity Futures Trading Commission (“CFTC”) recently released its long-awaited “Final Rule” to harmonize CFTC disclosure, reporting, and recordkeeping requirements with parallel U.S....more

Morrison & Foerster LLP

Disclosure Requirements and Advertising Rules for CPOs

Morrison & Foerster LLP on

On August 13, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments to accept compliance with the disclosure, reporting and recordkeeping rules of the Securities and Exchange Commission...more

Katten Muchin Rosenman LLP

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation...

Katten Muchin Rosenman LLP on

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules (“Final Rules”) applicable to registered investment companies now required to dually register as commodity pool operators (“Dually-Registered...more

BakerHostetler

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC...

BakerHostetler on

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity...more

Eversheds Sutherland (US) LLP

Amendments to CFTC Rule 4.5 Affecting Advisers to Registered Investment Companies Upheld

Eversheds Sutherland (US) LLP on

On Tuesday, June 25, 2013, a three-judge panel of the United States Court of Appeals for the District of Columbia Circuit (Court of Appeals) affirmed the decision of the United States District Court for the District of...more

Morrison & Foerster LLP

Court of Appeals Rejects Challenge to CFTC’s Rule 4.5

Morrison & Foerster LLP on

The U.S. Court of Appeals for the D.C. Circuit on June 25, 2013 held that the Commodity Futures Trading Commission (CFTC) lawfully adopted amendments to a rule that will require many investment companies to be regulated as...more

Eversheds Sutherland (US) LLP

DC Court of Appeals Upholds Amendments to CFTC Rule 4.5 Affecting Advisers to Registered Investment Companies

Eversheds Sutherland (US) LLP on

On Tuesday, June 25, 2013, a three-judge panel of the United States Court of Appeals for the District of Columbia Circuit (Court of Appeals) affirmed the decision of the United States District Court for the District of...more

Katten Muchin Rosenman LLP

NFA to Require CPOs to Identify Registered Investment Companies

Katten Muchin Rosenman LLP on

The National Futures Association (NFA) has notified its members that it will require each member of the NFA that is registered as a commodity pool operator (CPO) and operates one or more commodity pools that are also...more

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