Anastasia Rockas

Skadden, Arps, Slate, Meagher & Flom LLP

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"CFTC, SEC Issue Guidance on the Applicability of Certain Regulations to Family Offices"

In November and December 2014, the Commodity Futures Trading Commission (the “CFTC”) and Securities and Exchange Commission (“SEC”), respectively, issued guidance regarding the applicability of certain regulations to family...more

2/27/2015 / CFTC , Commodity Trading Advisors (CTAs) , CPOs , Family Offices , New Guidance , No-Action Relief , Registration Requirement , Securities and Exchange Commission (SEC)

"CFTC Staff Issues More No-Action Letters to Commodity Pool Operators"

Over the last month, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued four letters providing exemptive, no-action and interpretative relief to commodity...more

10/24/2014 / CFTC , CPOs , Delegation of Discretion , DSIO , Filing Requirements , JOBS Act , No-Action Relief , Recordkeeping Requirements , Third-Party

"CFTC Staff Provides Funds-of-Funds With Temporary No-Action Relief From Commodity Pool Operator Registration"

On November 29, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued temporary no-action relief from commodity pool operator (CPO) registration to...more

12/11/2012 / CFTC , Commodity Pool , No-Action Relief , Swap Dealers

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

On November 29, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued no-action relief from commodity pool operator (CPO) registration to family offices...more

12/5/2012 / CFTC , Commodity Pool , Family Offices , No-Action Relief , Swap Dealers

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