News & Analysis as of

Commodity Pool Operator › Dodd-Frank Wall Street Reform and Consumer Protection Act › Investment Adviser

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 -
Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- September 2014

Morrison & Foerster LLP on

In This Issue: - Regulation: Long-Awaited Money Market Fund Rules Adopted - SEC Staff Offers Guidance Regarding Investment Advisers and Proxy Advisory Firms - SEC Staff Closes Loophole on BDC Asset...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

Proskauer on Privacy

The SEC and CFTC Adopt Identity Theft Red Flag Rules

Proskauer on Privacy on

The Securities and Exchange Commission (the “SEC”) and Commodity Futures Trading Commission (the “CFTC”) recently adopted rules requiring entities subject to their respective enforcement authorities to adopt and implement...more

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