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620 results found

Article

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

Article

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

Article

K&L Gates | 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

Article

Morgan Lewis | 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 Commissionsannounced

Article

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

Article

Pillsbury | USA, United Kingdom, OECD, 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

Article

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

Article

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

Article

K&L Gates | USA | 17 Jan 2018

Virtual Currency -- NFA Reporting Requirements and CFTC Proposed Interpretation of “Actual Delivery”

National Futures Association(NFA) is requiring that member commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) immediately

Article

Sidley Austin LLP | USA, Global, Hong Kong | 16 Nov 2017

Derivatives Quarterly Newsletter: 3rd Quarter 2017

On July 6, 2017, the CFTC issued an order to LedgerX LLC (LedgerX), granting it registration as a SEF (SEF Order). In addition, on July 24, 2017

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