CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form
The Commodity Futures Trading Commission (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...
June 15, 2021
The SEC has approved an order from an alternative registered investment company (fund) to suspend redemptions due to the fund’s inability to value swaps in the fund’s portfolio, and therefore,...
March 01, 2021
CFTC Reduces Filing Burdens for CPOs, Formalizes Agreement with FSOC to Provide Form CPO-PQR Data
Recognizing that “ur credibility as a regulator is strengthened when we honestly admit that our regulations ask for data that we both have not used effectively and have no intention...
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...
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. The CFTC proposed several significant amendments to Rule...
June 22, 2020
In a move long advocated by the IAA, 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...
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. The proposal...
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...
February 27, 2020
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