WebDec 10, 2024 · Commission staff responded: “For purposes of determining the reporting threshold and CPO and Pool reporting, including the CPO's [Total AUM] . . . the CPO must exclude those Pools for which it is not required to be registered (i.e., Pools operated pursuant to an exclusion under CFTC Regulation 4.5 or an exemption under CFTC … WebAll books and records shall be maintained in accordance with § 1.31. All books and records required by this section except those required by paragraphs (a) (3), (a) (4), (b) …
Mutual Fund Corner: Practical Implications of the Recent Amendments …
WebMay 7, 2013 · In February 2012, the CFTC amended Regulation 4.5, which provides registered investment companies with an exclusion from the definition of commodity pool operator (“CPO”). As amended, Regulation 4.5 limits the amount of exposure to commodity interests – such as commodity futures and options and swaps – that a … WebFeb 18, 2024 · On December 1, 2024, the NFA issued a notice reminding its members of the annual affirmation requirement for persons or entities claiming an exemption or exclusion from registration as a CPO or CTA under applicable CFTC regulations. 1 This client alert summarizes the key points from the NFA’s notice. Authors: Joseph M. Motto Zachary J. … fairgrounds festival berry
Spotlight On CFTC Rule 4.5 - Law360
Web4.14(a)(8)(Firm level for CTA) CFTC Part 4 Exemption Easy Reference Guide Each person who has filed a notice of exemption from registration under this section must … WebPART 4—COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS; Subpart A—General Provisions, Definitions and Exemptions § 4.13 Exemption from registration as a commodity pool operator. ... in compliance with § 230.506(c) of this title, or with Rule 144A, § 230.144A of this title, as applicable; WebCHAPTER I - COMMODITY FUTURES TRADING COMMISSION. PART 4 - COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS. Subpart A - General Provisions, Definitions and Exemptions. § 4.5 Exclusion for certain otherwise regulated … (a) Subject to compliance with the provisions of this section, the following … fairgrounds flats