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Reporting Requirements › Disclosure Requirements › Commodity Pool

Eversheds Sutherland (US) LLP

The deadline for re-affirming CPO exemptions/exclusions is approaching

Eversheds Sutherland (US) LLP on

Under Commodity Futures Trading Commission (CFTC) regulations, persons who have claimed an exemption or exception from commodity pool operator (CPO) or commodity trading advisor (CTA) status pursuant to Part 4 of the CFTC’s...more

Broker-Dealer Compliance + Regulation

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

Broker-Dealer Compliance + Regulation on

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

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