Key Points -
Until August 12, 2025, CPOs and CTAs may continue to file position limit disaggregation notices upon request, rather than prospectively, and exempt CTAs may continue to rely upon the “independent account...more
The Commodity Futures Trading Commission (CFTC) is joining other federal agencies in the move toward a whole-of-government approach to the mitigation of climate-related financial risk. The CFTC has taken steps this...more
Key Points -
Beginning as early as September 2, 2021, a “branch office” for NFA purposes will exclude any remote working location not held out to the public as a CPO or CTA office where one or more APs from the same...more
Key Point -
As of September 30, 2021, private fund managers registered with the CFTC as CPOs or CTAs will be required, under new NFA guidance, to supervise certain third-parties performing regulatory functions....more
Commodity Futures Trading Commission (CFTC) Regulation 3.10(c)(3) currently provides an exemption from registration for non-U.S. commodity pool operators (CPOs) and commodity trading advisors (CTAs), if they solely operate...more
- The Commodity Futures Trading Commission (CFTC) formally withdrew its highly controversial “Regulation Automated Trading” (Reg AT).
- In its place, the CFTC proposed principles-based rules applicable to designated...more
- A CPO will be prohibited from claiming an exemption from registration under CFTC Regulation 4.13 if it or any of its principals has in their backgrounds a statutory disqualification under the Commodity Exchange Act.
- A...more
6/12/2020
/ Bad Actors ,
Certification Requirements ,
CFTC ,
Commodity Exchange Act (CEA) ,
Commodity Pool ,
CPOs ,
Exemptions ,
Final Rules ,
Investment Management ,
National Futures Association ,
Registration Requirement ,
Securities and Exchange Commission (SEC)