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Keywords: Commodity Pool Operator (CPO)
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Journal Articles
CFTC clarifies and expands relief relating to delegation of commodity pool operator responsibilities
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 69–73.
Published: 05 May 2015
...Cary Meer; Lawrence B. Patent Purpose – To explain CFTC No-Action Letter 14-126, issued on October 15, 2014 by the Commodity Futures Trading Commission Division of Swap Dealer and Intermediary Oversight, which sets forth a number of conditions with which a commodity pool operator (“CPO...
Journal Articles
Commodity Futures Trading Commission provides new streamlined process for commodity pool operators to request no-action relief for delegating certain activities to registered CPOs
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (3): 41–46.
Published: 26 August 2014
...Walid Khuri; Robert M. McLauglin; David S. Mitchell; David W. Selden Purpose – To provide an overview of a new, streamlined process from the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) by which a commodity pool operator (CPO) may...
Journal Articles
CFTC harmonization rules: CPOs of RICs benefit from “substituted compliance”
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 17–24.
Published: 27 February 2014
... furnishes semi-annual and annual reports to investors and files periodic reports with the SEC as required by the Applicable Federal Securities Laws. Securities and exchange commission (SEC) Investment adviser Commodity futures trading commission (CFTC) Commodity pool operator (CPO) Harmonization...
