Details

Service: Tax, U.S. Indirect Tax, Advisory, Risk Consulting, Financial Risk Management
Industry: Banking & Capital Markets
Type: Publication series
Date: 4/24/2012

Regulatory Practice Letter #12-08

CFTC Compliance Obligations for CPOs and CTAs – Final Rule

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The Commodity Futures Trading Commission (“CFTC”) recently released final rules that amend the compliance obligations of commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) under Part 4 of its regulations, including a requirement for CPOs and CTAs registered solely with the CFTC to file new reports similar to those required of CPOs and CTAs by the CFTC and the Securities and Exchange Commission (“SEC”) on Form PF (please refer to RPL 12-02).

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