On September 9, 2014, the staff of the Commodity Futures Trading Commission ( CFTC ) issued an exemptive letter providing relief to commodity pool operators
( CPOs ) from having to comply with certain conditions in CFTC Rules 4.
Debbie has represented registered and exempt commodity pool operators
and commodity trading advisors for nearly 30 years and also regularly advises mutual funds, banks, insurance companies, endowments and foundations on commodities law matters.
Picciotto will be responsible for all aspects of regulatory compliance for OFI's five affiliated investment advisers as well as its three commodity pool operators
and advisers, two transfer agents, broker-dealer, and state-chartered trust company, providing compliance services to more than 100 mutual funds and dozens of institutional accounts.
These innovative offerings will expand FXDD's services and allow institutions, including hedge funds, fund managers, commodity pool operators
(CPOs) and select banks to diversify their portfolio exposure and manage their risk.
The CFTC order requires MCM, MCA and MA, all of whom are CFTC registrants, jointly and severally, to pay a $25 million civil monetary penalty and restricts their registrations as Commodity Pool Operators
and/or Commodity Trading Advisors for three years.
They also analyze how the regime applies to securities brokers and dealers, foreign banks, investment companies and advisers, futures commission merchants, and commodity pool operators
and trading advisers.
Commodity Trading Advisors and Commodity Pool Operators
- a Primer
She advises on all aspects of implementation of the Dodd-Frank Act and its impact on swap dealers, end-users, futures commission merchants, commodity pool operators
and commodity trading advisors.
Lowenstein Sandler's Investment Management Group provides a full range of legal services to leading hedge funds, private equity funds, distressed debt funds, credit funds, venture capital funds, real estate funds, funds of funds and other pooled investment vehicles, as well as to investment advisers, commodity pool operators
, commodity trading advisers, broker-dealers and institutional investors.
Jon works exclusively with clients in the financial services industry and has particular expertise in meeting the needs of domestic and offshore investment partnerships/companies, commodity pool operators
and commodity trading advisors, fund of funds, registered investment advisers, broker-dealers, futures commission merchants, regulated investment companies, business development companies and specialty finance companies.
lt;p>Persons who solicit orders, exercise discretionary trading authority and operate pools with respect to retail forex would also be required to register, either as introducing brokers, commodity trading advisors, commodity pool operators
, or as associated persons of such entities.
Geffner, 45, oversees Sadis & Goldberg's Financial Services Group, where he advises private investment vehicles, investment advisory organizations, broker-dealers, commodity pool operators
and other investment fiduciaries.