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554 results found

Article

Fried Frank Harris Shriver & Jacobson LLP | USA | 5 Nov 2020

CFTC Adopts Amendments to Rule 3.10(c) Exemption for Certain Foreign Intermediaries

On October 15, 2020, the Commodity Futures Trading Commission (the "CFTC" or the "Commission") voted unanimously to adopt several amendments to CFTC…
Article

Skadden Arps Slate Meagher & Flom LLP | USA | 4 Jun 2020

CFTC Extends Phase 5 Compliance Date for Its Initial Margin Rules and Proposes More Regulatory Flexibility for Non-US Commodity Pool Operators

On May 28, 2020, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved an interim final rule extending the Phase 5…
Article

Akin Gump Strauss Hauer & Feld LLP | USA | 16 Apr 2020

CFTC Proposes to Narrow its CPO-PQR to Conform to the NFA Form PQR and Add LEIs

On April 14, 2020, the Commodity Futures Trading Commission (CFTC) proposed, among other things, to narrow and revise the scope of information that…
Article

Ropes & Gray LLP | USA | 24 Mar 2020

In Response to COVID-19 CFTC and NFA Issue Temporary Relief to Commodity Pool Operators and Commodity Trading Advisors

On March 20, 2020, in response to the COVID-19 pandemic, the Division of Swap Dealer and Intermediary Oversight (“CFTC Staff”) of the U.S. Commodity…
Article

Steptoe & Johnson LLP | Global, USA | 23 Jan 2020

Forecasting the CFTC's 2020 Agenda

On July 15, 2019, Heath Tarbert was sworn in as the 14th Chairman of the US Commodity Futures Trading Commission (CFTC or Commission).[1] Over the…
Article

Ropes & Gray LLP | USA | 22 Jan 2020

New Year Brings New Responsibilities for Some Asset Managers Who Are Exempt from Registration with the CFTC

With the New Year comes new responsibilities for certain asset managers who are exempt from registration with the U.S. Commodity Futures Trading…
Article

Fried Frank Harris Shriver & Jacobson LLP | USA | 17 Jan 2020

Reminder: CPO and CTA Annual Affirmation Requirement

The Commodity Futures Trading Commission (“CFTC”) requires any person that claims an exemption from commodity pool operator (“CPO”) registration…
Article

Ropes & Gray LLP | USA | 19 Dec 2019

CFTC Amends Regulations Applicable to Asset Managers Including Excluded and Exempt CPOs and CTAs; Action May Be Required

The United States Commodity Futures Trading Commission ("CFTC" or the "Commission") recently amended Part 4 of its regulations (the "Amendments")…
Article

Steptoe & Johnson LLP | USA | 10 Dec 2019

CFTC Codifies Family Office Registration Relief

The US Commodity Futures Trading Commission (CFTC or Commission) recently voted 4-1 in an open meeting to codify existing staff no-action letters…
Article

Greenberg Traurig LLP | USA | 11 Mar 2019

CFTC and NFA Commodities Regulatory Update

Departing from its historical practice but following the approach taken by the SEC and FINRA, the Commodity Futures Trading Commission (CFTC) on Feb…
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