Tag: CPO
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
Tags: CPO, Mutual Funds, Registered Funds, Valuation
SEC and CFTC Settle Actions Against Investment Adviser and Registered Commodity Pool Operator for Misleading Statements About Risk Management Agencies Separately Sue Portfolio Manager for Misrepresenting Risk Management February 27,...
February 27, 2020
Tags: CFTC, CPO, SEC Enforcement
CFTC Unanimously Approves Proposed Amendments to Form CPO-PQR
CFTC Unanimously Approves Proposed Amendments to Form CPO-PQR April 17, 2020 The CFTC unanimously approved a proposal to amend Rule 4.27 and Form CPO-PQR required to be filed by CFTC-registered...
April 17, 2020
IAA Recommends Improvements to CFTC’s Proposal to Amend Form CPO-PQR
IAA Recommends Improvements to CFTC’s Proposal to Amend Form CPO-PQR June 22, 2020 The IAA recently filed a comment letter in support of the CFTC’s proposed amendments to Form CPO-PQR...
June 22, 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
CFTC Reduces Filing Burdens for CPOs, Formalizes Agreement with FSOC to Provide Form CPO-PQR Data
Recognizing that “[o]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
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules November 25, 2019 The CFTC adopted rules on November 25 that codify certain no-action relief and amend...
November 25, 2019
Tags: CFTC, CPO, CTA, Dan M. Berkovitz, Family Office, Heath Tarbert, Rostin Behnam
CFTC Proposes Amendments to Treatment of Offshore Commodity Pools, Delays Initial Margin Requirements for Uncleared Swaps Actions Follow Concerted IAA Advocacy Campaign May 29, 2020 In a move long...
May 29, 2020
Tags: CFTC, CPO, Legal & Regulatory, Non-U.S. Pools, Swaps
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