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Searching Content by Jeremy A. Liabo from Ropes & Gray LLP ordered by Published Date Descending.
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CFTC Staff Extends No-Action Relief From Certain Position Aggregation Requirements
The U.S. Commodity Futures Trading Commission's (the "CFTC") Division of Market Oversight recently issued CFTC Letter No. 19-19, which extends until August 12, 2022
United States
13 Aug 2019
2
Recent CFTC Enforcement Action Against Non-U.S. Fund Manager For Violation Of U.S. Position Limits Highlights Traps For Unwary
Recent CFTC Enforcement Action Against Non-U.S. Fund Manager For Violation Of U.S. Position Limits Highlights Traps For Unwary
United States
25 Jul 2019
3
NFA Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam requirement
United States
10 May 2019
4
CFTC Adopts Swaps Proficiency Exam Requirement For Associated Persons Of Asset Managers
On March 25, 2019, the National Futures Association ("NFA") adopted rule amendments and a related interpretive notice that will, for the first time, impose a swaps proficiency exam ...
United States
8 Apr 2019
5
The New Year Rings In New Requirements For NFA Member Asset Managers
In the final weeks of 2018, the National Futures Association ("NFA") issued new requirements applicable to asset managers who are members of the NFA that will take effect in 2019.
United States
14 Jan 2019
6
New Disclosure Requirements For NFA Members Engaging In Virtual Currency Activities—Action Required
On August 9, 2018, the National Futures Association ("NFA") announced that, effective October 31, 2018, NFA members are required to make additional disclosures in connection with their virtual currency activities ...
United States
14 Aug 2018
7
CFTC Proposes Interpretation To Address Cryptocurrency Delivery Questions
On December 15, 2017, the U.S. Commodity Futures Trading Commission ("CFTC") issued its proposed interpretation of the term "actual delivery" in the context of virtual currency retail commodity transactions.
United States
9 Feb 2018
8
CFTC Staff Provides Relief From Position Limit Aggregation Rules, Including August 14, 2017 Filing Deadline
Just days before a new notice filing requirement for certain position limit aggregation exemptions was to take effect, on August 10, 2017 the staff of the U.S. Commodity Futures Trading Commission...
United States
14 Aug 2017
9
Reminder Of Effective Date Of Filing Requirement Under CFTC Position Limit Aggregation Exemption Rules
The new notice filing requirement for continued reliance on certain exemptions from aggregation under the CFTC's position limit rules becomes effective on August 14, 2017.
United States
18 Jul 2017
10
CFTC Permits Registered CTAs To Use Third-Party Recordkeepers; Action May Be Required
In addition, CTAs must amend their NFA registration Form 7-R and update any other documents to reflect the location of their books and records.
United States
8 May 2017
11
CPOs of Registered Investment Companies Granted Limited Relief From CFTC Liquidation Audit Requirements
Until Letter 17-04 was issued, because of the difficulty of obtaining written waivers from investors, a CPO had to prepare audited financial statements of a liquidating series under CFTC rules...
United States
23 Feb 2017
12
CFTC Extends Deadline For Notice Filings Under Amended Position-Limit Aggregation Rules
On February 6, 2017, the Division of Market Oversight of the U.S. Commodity Futures Trading Commission (the "CFTC") issued temporary no-action relief from the notice filing requirements...
United States
17 Feb 2017
13
CFTC Staff Issues Self-Executing Registration Relief for Certain Delegating CPOs
Historically, the CFTC staff has considered a private fund’s general partner, manager, directors or trustees to be the fund’s CPO.
United States
20 Oct 2014
14
Regulators Re-Propose Minimum Margin Requirements For Uncleared Swaps
The proposed rules issued by the Regulators are substantially similar to each other and to comparable requirements that have been proposed in the European Union.
United States
29 Sep 2014
15
CFTC Staff Updates Requirements For The Delegation Of CPO Functions
On May 12, 2014, the Commodity Futures Trading Commission ("CFTC") staff issued Letter 14-69 (the "Letter"), which requires that specific no-action relief be obtained when a commodity pool operator ("CPO") of a fund delegates its rights and obligations as a CPO to another entity that will serve as the registered CPO of the fund.
United States
15 May 2014
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