Clifford Chance | CFTC's Proposal to Repeal or Restrict Exemptions from Commodity Pool Operator and Commodity Trading Advisor Regulation

5 May 2011

CFTC's Proposal to Repeal or Restrict Exemptions from Commodity Pool Operator and Commodity Trading Advisor Regulation

Banking & securities regulation, Exchange traded funds, Fund management, International, New York, Structured finance, United States
David Felsenthal, Gareth Old, David Yeres
Client Briefing

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CFTC's Proposal to Repeal or Restrict Exemptions from Commodity Pool Operator and Commodity Trading Advisor Regulation

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SEC Issues Proposed Rules on the Scope of Exemptions from Registration Available to Non-U.S. Investment Advisers Under the Dodd-Frank Act

The Commodity Futures Trading Commission (the "CFTC") has proposed rules that would remove the exemptions that many US fund managers and non US fund managers of US funds currently rely on to avoid the need to register as commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") in the United States.

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