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The financial services practice enjoys an international reputation, providing legal counsel to several hundred advisers, broker-dealers and commodity pool operators that sponsor, manage and advise hedge funds, private equity funds, venture capital funds and separately managed accounts.
The company's services include set-up and registration of new investment advisers, broker/dealers, commodity pool operators, and commodity trading advisors; support for coordination and defense of actual regulatory audits, investigations, inquiries, and sweeps; and strategic counseling on fund organization, registration, and back and middle office staffing.
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.
Commodity pool operators and commodity trading advisors dually registered with the SEC and the CFTC are also required to file Form PF.
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.
Altegris Clearing Solutions serves a range of clientele, including institutional and high net worth investors, family offices, hedge fund managers and commodity pool operators.
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.