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
Tags: CFTC, CPO, Legal & Regulatory, Non-U.S. Pools, Swaps
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
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues
As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep you informed.
March 14, 2020
Tags: CFTC, Coronavirus, COVID-19, SEC
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
Tags: CFTC, CPO, SEC Enforcement
CFTC Proposes New Rules on Position Limits for Derivatives (Again)
After several false starts and the reversal by a federal court of an early rulemaking attempt, the CFTC has reproposed long-awaited amendments to its regulations on speculative position limits in commodity derivatives markets.
February 27, 2020
Tags: CFTC, Derivatives
CFTC Proposes Rule to Prohibit Post-Trade Name Give-Up on Swap Execution Facilities
The CFTC has unanimously approved a proposal to prohibit “post-trade name give-up” practices for swaps that are anonymously executed on a Swap Execution Facility (SEF) and are intended to be cleared.
December 26, 2019
SEC, CFTC Budgets Increased; SECURE Act Becomes Law
SEC, CFTC Budgets Increased; SECURE Act Becomes Law December 20, 2019 The budgets of both the SEC and CFTC will be significantly increased under the FY 2020 federal spending...
December 20, 2019
Tags: Retirement Savings, Budgets, CFTC, Inside the Beltway, Retirement Plans, SEC, SECURE Act
Federal agencies recently released the Fall update to their regulatory agendas.
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules
The CFTC adopted rules on November 25 that codify certain no-action relief and amend registration and compliance requirements for commodity pool operators and commodity trading advisors.
November 25, 2019
Tags: CFTC, CPO, CTA, Dan M. Berkovitz, Family Office, Heath Tarbert, Rostin Behnam