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CFTC Rulemakings list

      

Final Rule: Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Final Rule: Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

RIN: 3038–AD75

Agency/Agencies: CFTC

Federal Register Publication Date: 08/22/2013

Summary: The CFTC adopted final regulations with respect to certain compliance obligations for commodity pool operators (‘‘CPOs’’) of investment companies registered under the Investment Company Act of 1940 that are required to register due to the recent amendments to its regulations. The CFTCalso adopted amendments to certain provisions of Part 4 of the CFTC’s regulations that are applicable to all CPOs and Commodity Trading Advisors.

Ianthe Zabel
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