January 4, 2022 Memo to Clients 2023 – Annual Reminders February 4, 2022 Memo to Clients 2022 – Annual Reminders January 21, 2021 ESG Spotlight Series: Sustainable Finance Disclosures Regulation (SFDR): Applicability for U.S. Managers March 23, 2020 CFTC Provides No-Action Relief for CPOs in Response to COVID-19 April 5, 2019 New Swaps Proficiency Requirements for Associated Persons of CPOs and CTAs February 26, 2019 NFA Information Systems Security Program and CPO Internal Controls System Requirements October 15, 2014 CFTC Issues Self-Executing CPO Delegation Relief September 11, 2014 CFTC Issues Exemptive Relief Allowing CPOs Relying on 4.13(a)(3) or 4.7 to Engage in Limited General Solicitation and General Advertising May 13, 2014 CFTC Issues CPO Delegation Guidance September 3, 2013 CFTC Issues Harmonization Rule for CPOs of Registered Investment Companies August 21, 2013 CFTC Issues CPO Recordkeeping and Disclosure Relief February 26, 2013 Important Reminder Regarding March 1 CPO/CTA Exemption Affirmation Deadline August 17, 2012 CFTC Publishes Frequently Asked Questions on Rule Amendments to Compliance Obligations for CPOs and CTAs February 9, 2012 CFTC Adopts Final Rules Regarding Exemptions from CPO and CTA Registration; Rescinds 4.13(a)(4) Exemption Load more
