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Recent Developments Affecting Commodity Pool Operators and Commodity Trading Advisors  (Volume 53, Number 15–September 16, 2020)


Author:  Philip T. Hinkle.; Audrey Wagner.


Source: Volume 53, Number 15, September 1 2020 , pp.179-187(9)




Review of Securities & Commodities Regulation

Abstract: 

In this article, the authors lay out the various recent changes the CFTC has made to simplify certain regulations applicable to CPOs and CTAs and to close a perceived regulatory gap, as well as reporting relief measures that the CFTC and the NFA have afforded to CPOs and CTAs. They also discuss branch office registration relief for firms with APs temporarily away from their firm’s main office and fingerprinting relief when obtaining fingerprint cards would be difficult or dangerous. They close with a description of the CFTC’s proposed amendments related to its periodic systemic risk reports.

Keywords: CFTC Part 4 Rule Amendments; CFTC and NFA Relief for Registered CPOS and CTAS; Changes to CFTC Form CPO-PQR

Affiliations:  1: Dechert LLP; 2: Dechert LLP.

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