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NFA Provides Guidance on Amended Commodity Pool Operator Reporting Requirements

In light of recent CFTC amendments to commodity pool operator ("CPO") reporting requirements (see previous coverage), the NFA provided member firms with guidance on how CPOs can file required notices to gain relief from various reporting and audit requirements.

The NFA also notified member firms that the NFA EasyFile Extensions and Notice Filings systems now permit a CPO to make one filing that will cover one or more pools.

Primary Sources

  1. NFA Notice I-17-08: "CFTC Amends Part 4 Regulations regarding CPO Financial Reports"

Related Articles

  • Federal Register: CFTC Adopts Amended Rules for CPO Financial Reports

    The CFTC approved amendments to certain rules to (i) allow commodity pool operators to use alternative accounting standards in preparing financial statements for non-U.S. pools, and (ii) adopt exemptions from the audit requirements for a pool's Annual Reports. These changes codify relief that the CFTC granted previously on a case-by-case basis through exemptive and no-action letters.

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Tags

Regulated Activities
Regulatory Reporting
Regulated Entities
Adviser / CTA / CPO
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
NFA