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Tag Archives: CPO

U.S. House Votes to Reauthorize the CFTC and Exclude Most RICs from CPO and CTA Requirements

Posted in Investment Adviser Regulation

The U.S. House of Representatives on June 24, 2014, passed a version of the CFTC reauthorization bill, H.R. 4413, that would exclude investment advisers to registered investment companies (RICs) from the definitions of commodity pool operator (CPO) and commodity trading advisor (CTA) if they limit their advice and trading activity to “financial commodity interests.” H.R…. Read More

NFA Requests Comments on Need for CPO/CTA Capital Requirements

Posted in Fund Regulation, Investment Adviser Regulation

Should the National Futures Association (NFA) impose capital requirements on commodity pool operators (CPOs) and commodity trading advisors (CTAs)? On January 23, 2014, the NFA published a Notice to members seeking public comments on this controversial proposal. The proposal does not appear to exclude advisers of registered investment companies that are required to register as… Read More