Tag Archives: CPO


Reminder: CFTC Exemption Filing Deadline is 3/2/15

March 2, 2015 Dear Friends, Any entity claiming an exemption or exclusion from CPO or CTA registration, pursuant to CFTC Regulations  4.13, 4.5 or 4.14, must reaffirm the exemption(s) by Monday, March 2, 2015. Please click here for instructions on how to file an exemption through the NFA’s Electronic Exemption System. Please contact us with any questions at (212) 867-0200 […]

CFTC Grants Self-Executing No-Action Relief for CPOs

October 21, 2014 Dear Friends, The CFTC has further streamlined its Commodity Pool Operator (“CPO”) delegation process, granting self-executing, no-action relief to qualifying CPOs that delegate their CPO functions to a registered CPO. In May 2014, the CFTC required CPOs that delegate certain responsibilities to a registered CPO (e.g. GPs of limited partnerships that delegate CPO authority to a registered CPO) to submit […]

CFTC Guidance on CPO Delegation Process

Dear Friends, On May 12, 2014, the CFTC announced a streamlined approach for considering requests for no-action relief with respect to CPOs who delegate certain activities to a registered CPO (e.g. GPs of limited partnerships who delegate CPO authority to a registered investment manager). Each delegating CPO must submit a letter certifying it meets certain criteria outlined in the release. […]