News & Analysis as of September 19, 2024

Commodity Pool › Investment Funds

+ Follow

A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

Proskauer's Hedge Start: What Key Exemptions Apply to Hedge Funds?

Proskauer Rose LLP on 6/13/2024

We have separately discussed the common exemptions from registration of a fund manager with the Securities and Exchange Commission (SEC) as an investment adviser and from registration with the Commodity Future Trading...more

Chris Lazarini Discusses Recoupment of Civil and Criminal Penalties under Bankruptcy Code

Bass, Berry & Sims PLC on 3/9/2018

Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the defendant – who had pleaded guilty in a criminal case to one count of fraud under the Commodity Exchange Act (CEA) and one count of money laundering,...more

Trump Administration Issues Guidance on Asset Management and Insurance Regulation

Kramer Levin Naftalis & Frankel LLP on 12/1/2017

On Oct. 26, 2017, the U.S. Treasury Department (Treasury) released the latest installment in a series of reports on financial regulation required by the president’s Feb. 3 executive order on the financial system....more

FinCEN Requires Financial Institutions to Obtain Beneficial Ownership

Morgan Lewis on 6/1/2016

FinCEN’s new CIP beneficial owner rules may hinder the ability of shell and nominee companies to directly access the US financial system without disclosing the natural persons who own 25% or more of the company. Pooled...more

"Parallel Fund Structures Under the Volcker Rule"

Skadden, Arps, Slate, Meagher & Flom LLP on 5/15/2014

Skadden was one of 15 law firms that participated in the development of a recently released consensus interpretation letter regarding the ability of non-U.S. banking entities to invest in certain parallel funds organized by...more

CFTC No Action Letter for Controlled Foreign Corporations

Orrick - Finance 20/20 on 9/11/2013

On September 5, the CFTC issued a no-action letter to commodity pool operators of registered funds that trade in commodity interest through wholly-owned controlled foreign corporations (CFCs)....more

CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that Are Commodity Pools

Broker-Dealer Compliance + Regulation on 8/15/2013

In a dramatic change of course, the Commodity Futures Trading Commission (CFTC) adopted final rules that apply a “substituted compliance” approach for disclosure and compliance obligations of registered investment companies...more

7 Results

View per page

Page: of 1