CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form
The CFTC Market Participants Division has published 20 new frequently asked questions related to Form CPO-PQR and CFTC Rule 4.27, both of which were revised in October 2020.
June 15, 2021
The SEC has approved an order from an alternative registered investment company to suspend redemptions due to the fund’s inability to value swaps in the fund’s portfolio.
March 01, 2021
CFTC Reduces Filing Burdens for CPOs, Formalizes Agreement with FSOC to Provide Form CPO-PQR Data
CFTC Chairman Heath Tarbert led the CFTC to a unanimous vote to streamline the requirements for commodity pool operators to provide data to that agency on Form CPO-PQR.
October 08, 2020
IAA Comments on Proposal for Registration Exemption for Offshore Pools Operated by Non-U.S. Operator
The IAA and other buy-side trade associations filed a letter on August 11 on the CFTC’s proposed amendments to the registration exemption in CFTC Rule 3.10(c)(3) for offshore commodity pool operators of offshore pools.
August 20, 2020
IAA Recommends Improvements to CFTC’s Proposal to Amend Form CPO-PQR
The IAA recently filed a comment letter in support of the CFTC’s proposed amendments to Form CPO-PQR for registered commodity pool operators.
June 22, 2020
The CFTC has voted unanimously on two actions affecting SEC-registered investment advisers and their affiliates operating non-U.S. commodity pools and/or engaging in uncleared swaps transactions on behalf of their clients.
May 29, 2020
CFTC Unanimously Approves Proposed Amendments to Form CPO-PQR
The CFTC unanimously approved a proposal to amend Rule 4.27 and Form CPO-PQR required to be filed by CFTC-registered commodity pool a virtual open meeting on April 14.
April 17, 2020
The SEC and the CFTC have settled charges against an investment adviser of a mutual fund that is also registered as a commodity pool operator for materially misleading investors about risk management procedures and failing to manage the fund’s risks consistent with the fund’s prospectus and other representations.
February 27, 2020
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