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686 results found

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Latham & Watkins LLP | USA | 1 Feb 2019

CFTC Seeks to Amend Commodity Pool Regulations

The US Commodity Futures Trading Commission (CFTC) has proposed amendments to its regulations in order to ease the registration and compliance burdens…
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Skadden Arps Slate Meagher & Flom LLP | USA | 13 Nov 2018

CFTC Proposes to Simplify, Modernize Commodity Pool Operator and Commodity Trading Advisor Regulations

On October 18, 2018, the Commodity Futures Trading Commission (CFTC) published a proposal in the Federal Register (Proposed Rule) to amend several…
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K&L Gates LLP | USA | 31 Oct 2018

CFTC Proposes to Codify Relief for CPOs and CTAs

The U.S. Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing amendments to its regulations governing commodity pool operators…
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McMillan LLP | Canada | 6 Oct 2018

Liquid Alternatives Now a Reality Alternative Mutual Funds Regime Scheduled to Come Into Force January 3, 2019

The Canadian Securities Administrators (the “CSA”) have published the long awaited and much anticipated final version of amendments introducing a…
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Morgan, Lewis & Bockius LLP | USA | 17 Jul 2018

CFTC, SEC Sign New Memorandum of Understanding on Information Sharing

The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC)— collectively the Commissions—announced…
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Katten Muchin Rosenman LLP | USA | 4 May 2018

CFTC Staff Issues Interpretive Guidance Regarding Aggregation by Passive Pool Investors

On May 2, the Commodity Futures Trading Commission’s Division of Market Oversight responded to a request for an interpretation regarding CFTC Rule 150…
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Pillsbury | European Union, OECD, United Kingdom, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with…
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Sidley Austin LLP | USA | 28 Feb 2018

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the…
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Vedder Price PC | USA | 16 Feb 2018

Annual Compliance Obligation Reminders

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool…
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Katten Muchin Rosenman LLP | USA | 19 Jan 2018

NFA Issues Notice of Additional Questions for CPOs on the Annual Pool Financial Statement

On January 18, the National Futures Association (NFA) issued a Notice to inform commodity pool operators that two additional questions concerning…
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