CTA

Corporate and Financial Weekly Digest - April 26, 2013

by Katten Muchin Rosenman LLP on 4/29/2013

In this issue: - NFA Amends CPO and CTA Quarterly Reporting Requirements - SDNY Imposes Second Highest Penalty Under Foreign Corrupt Practices Act - Grand Jury Indicts Swiss Lawyer and Banker in Tax...more

NFA Issues Notice Regarding CTA Reporting Requirements

by James M. Brady, Kevin M. Foley | Katten Muchin Rosenman LLP on 1/31/2013

National Futures Association (NFA) issued a notice to members relating to reporting requirements for commodity trading advisors (CTAs)...more

Legal Alert: The CPO and CTA Regulatory Regimes: What Operators of and Advisers to Commodity Pools Should Expect in 2013

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Meltem F. Kodaman, Catherine M. Krupka, more +David T. McIndoe, Mark D. Sherrill, R. Michael Sweeney, Jr. | Sutherland Asbill & Brennan LLP on 1/18/2013

There were a number of significant changes to the regulatory regime for commodity pool operators (CPOs) and commodity trading advisors (CTAs) in 2012. As a result of these changes, various types of collective investment...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

by John P. Falco, John M. Ford, Matthew R. Silver, Lisa D. Zeises | Pepper Hamilton LLP on 12/14/2012

On December 12, 2012, the U.S. District Court for the District of Columbia released its decision in Investment Company Institute v. U.S. Commodity Futures Trading Commission, rebuffing the Investment Company Institute (ICI)’s...more

NFA Issues Guidance on Reaffirmation of CPO/CTA Exemptions

by Carolyn A. Jayne, Cary J. Meer, Lawrence B. Patent | K&L Gates LLP on 12/13/2012

Introduction - Earlier this year, the Commodity Futures Trading Commission (“CFTC”) promulgated amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) that now...more

NFA Issues Guidance on Annual Affirmation Requirement for CPO and CTA Exemptions

by James M. Brady, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 12/12/2012

Commencing in 2012, each person or entity claiming an exemption from commodity pool operator (CPO) or commodity trading advisor (CTA) registration must annually affirm the applicable exemption within 60 days of the end of...more

Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps and Certain Foreign Exchange Forwards from the...

by Ropes & Gray LLP on 11/26/2012

On November 16, 2012, the United States Department of the Treasury (the “Treasury Department”) issued a final determination (the “Final Determination”) regarding the treatment of foreign exchange swaps and certain foreign...more

CFTC Provides Temporary Relief Regarding Registration Deadlines for Certain CPOs and CTAs and the Treatment of Foreign Exchange...

by Ropes & Gray LLP on 10/19/2012

On October 11, 2012, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC”) granted temporary no-action relief to commodity pool operators (“CPOs”) and...more

"CFTC Delays Registration Deadline for Certain Commodity Pool Operators and Commodity Trading Advisors"

by Skadden, Arps, Slate, Meagher & Flom LLP on 10/12/2012

On October 12, 2012, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued “Temporary Registration No-Action Relief” (Temporary No-Action Relief) to commodity...more

CFTC Approves Conforming Amendments for CPO and CTA Regulations

by Katten Muchin Rosenman LLP on 9/12/2012

On September 5, the Commodity Futures Trading Commission published final conforming amendments to Part 4 of its regulations, which govern the operations and activities of CPOs and CTAs. These amendments reflect changes made...more

New CFTC Regulatory Regime for Private Fund Managers

by Orrick - Structured Finance Group on 8/30/2012

On April 24, the U.S. CFTC repealed the exemption from registration under the U.S. Commodity Exchange Act for private investment funds provided by CFTC Rule 4.13(a)(4). This Client Alert, written by Ed Eisert and Evelyn...more

New CFTC Regulatory Regime for Private Fund Managers

by Orrick, Herrington & Sutcliffe LLP on 8/27/2012

On April 24, 2012, the U.S. Commodities Futures Trading Commission ("CFTC") repealed the exemption from registration under the U.S. Commodity Exchange Act ("CEA") for private investment funds provided by CFTC Rule 4.13(a)(4)....more

CFTC DSIO Issues FAQ on CPO and CTA Compliance

by Orrick - Structured Finance Group on 8/23/2012

On August 14, the CFTC Division of Swap Dealer and Intermediary Oversight issued a set of responses to frequently asked questions regarding compliance obligations for commodity pool operators and commodity trading advisers....more

CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions

by K&L Gates LLP on 8/21/2012

The Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (“CFTC”) issued responses on August 14, 2012 to frequently asked questions (“FAQs”) submitted by several trade...more

CFTC Issues Guidance on Compliance Obligations for CPOs and CTAs

by Katten Muchin Rosenman LLP on 8/21/2012

On August 14, the Commodity Futures Trading Commission issued a set of responses to frequently asked questions (FAQs) related to the compliance obligations of commodity pool operators (CPOs) and commodity trading advisors....more

CFTC Staff Responds to Frequently Asked Questions on CTA and CPO Registration and Compliance

by Ropes & Gray LLP on 8/16/2012

On August 14, 2012, the Commodity Futures Trading Commission (“CFTC”) Staff released guidance entitled “Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions – CPO/CTA: Amendments to...more

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

by MarketsReformWiki on 2/14/2012

More video at MarketsWiki.tv Bart Mallon is a partner and co-founder of Cole-Frieman & Mallon, a San-Francisco-based law firm specializing in hedge fund and alternative investment legal services. His areas of...more

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Corporate and Financial Weekly Digest - April 26, 2013

NFA Issues Notice Regarding CTA Reporting Requirements

Legal Alert: The CPO and CTA Regulatory Regimes: What Operators of and Advisers to Commodity Pools Should Expect in 2013

Year-End Developments And Compliance Checklists

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

NFA Issues Guidance on Reaffirmation of CPO/CTA Exemptions

NFA Issues Guidance on Annual Affirmation Requirement for CPO and CTA Exemptions

Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps and Certain Foreign Exchange Forwards from the...

CFTC Provides Temporary Relief Regarding Registration Deadlines for Certain CPOs and CTAs and the Treatment of Foreign Exchange...

"CFTC Delays Registration Deadline for Certain Commodity Pool Operators and Commodity Trading Advisors"

CFTC Approves Conforming Amendments for CPO and CTA Regulations

New CFTC Regulatory Regime for Private Fund Managers

New CFTC Regulatory Regime for Private Fund Managers

CFTC DSIO Issues FAQ on CPO and CTA Compliance

CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions

CFTC Issues Guidance on Compliance Obligations for CPOs and CTAs

CFTC Staff Responds to Frequently Asked Questions on CTA and CPO Registration and Compliance

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

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