Recently by Rita M. Molesworth
Regulatory & Compliance
CFTC Adopts Harmonization Rules Applicable To Registered Investment Companies That Do Not Rely On CFTC Rule 4.5
Commodity Futures Trading Commission Rule 4.5 provides an exclusion from the definition of “commodity pool operator” (CPO) for, among others, certain registered investment companies that trade commodity interests. Between late 2003 and the beginning of 2012, all registered investment...
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Commodity Futures Trading Commission Update
CFTC Amends CPO And CTA Rules; NFA Adopts Test Waiver And Swap Designation For Members The Commodity Futures Trading Commission (CFTC) recently broadened the scope of its rules governing the operations and activities of commodity pool operators and commodity trading advisors...
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New Swap Data Recordkeeping And Reporting Rules
The Commodity Futures Trading Commission has issued a final rule[1] regarding reporting and recordkeeping with respect to swaps. The effective date of the rule is March 13, 2012; compliance dates are dependent upon the completion of other CFTC rulemakings. I. Reporting Of Swaps A....
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CFTC Adopts Final Business Conduct Standards For Swap Dealers And Major Swap Participants
The Commodity Futures Trading Commission recently adopted final rules[1] regarding the business conduct standards with which swap dealers (“SDs”) and major swap participants (“MSPs”) must comply when entering into swaps with counterparties or advising clients regarding...
Read MoreSEC Proposes New Rules Directed At Hedge Funds And Their Advisers - Part II
Part I of this article appeared in the May, 2007 issue of The Metropolitan Corporate Counsel. After the decision in Goldstein v. U.S. Securities and Exchange Commission, 451 F.3d 873, Fed. Sec. L.Rep. (CCH) P93890 (D.C. Cir. 2006) wherein the U.S. Court of Appeals overturned the Hedge Fund Adviser...
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