Cftc regulation 4.13 a 2
WebFeb 18, 2024 · I. Introduction and Executive Summary. At an open meeting held on June 4, 2024, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) unanimously adopted amendments to Rule 4.13, the Commission’s rule providing a number of commodity pool operator (“CPO”) registration exemptions for persons engaged in … WebJul 8, 2024 · The Commodity Futures Trading Commission (CFTC or Commission) is adopting as final (Final Rule) an amendment to Regulation 4.13, which contains the …
Cftc regulation 4.13 a 2
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WebCFTC Rule 4.5 excludes from the definition of CPO persons that operate pools that are regulated by some other regulatory authority As this is an exclusion, all the CFTC’s CPO requirements are not applicable CFTC Rule 4.6(a)(2) excludes from the definition of CTA any person who is excluded from the definition of CPO under CFTC Rule 4.5 WebJun 16, 2024 · Key Takeaways. A CPO will be prohibited from claiming an exemption from registration under CFTC Regulation 4.13 if it or any of its principals has in their …
WebThe CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO … Web(1) The commodity pool operator of each such pool has not so organized and is not so operating the pool for the purpose of avoiding commodity pool operator registration; (2) With the exception of the pool's operator, advisor and their principals, solely “Non-United States persons,” as that term is defined in § 4.7(a)(1)(iv), will ...
WebNov 13, 2024 · The CFTC proposes to amend CFTC Regulation 4.13 (which provides exemptions from CPO registration) so that a CPO would not have to register as a CPO with respect to any of its offshore pools for which the CPO solicits and/or accepts funds only from persons located outside the U.S. WebThe Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government. The Electronic Code …
WebAll books and records shall be maintained in accordance with § 1.31. All books and records required by this section except those required by paragraphs (a) (3), (a) (4), (b) (1), (b) …
WebApr 27, 2024 · Announced on January 15, 2024, “The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3) and 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an exemption from CTA registration under 4.14(a)(8) to annually affirm the applicable … maximilianshöhe furth im waldWeb4.13(a)(2) (Pool level for Exempt CPO) Exemption provides an entity relief from CPO registration An entity acting as a Pool Operator 4.13(a)(3) (Pool level for Exempt CPO) … maximilianshöhe furthWebCFTC Rule 4.5 excludes from the definition of CPO persons that operate pools that are regulated by some other regulatory authority As this is an exclusion, all the CFTC’s CPO … maximilian simon wrestlerWebFeb 18, 2024 · CFTC regulations also require a person or entity claiming an exemption or exclusion from CPO or CTA registration under CFTC regulation 4.5, 4.13 (a) (1), 4.13 … maximilian singhoff schumacherWebFeb 14, 2012 · The Commodity Futures Trading Commission (CFTC) announced on February 9 the adoption of final rules that significantly curtail the ability of registered investment companies to claim relief... hernando chong miami flhernando chong mdWebFeb 28, 2012 · On February 9, 2012, the U.S. Commodity Futures Trading Commission (CFTC) rescinded CFTC Rule 4.13 (a) (4), which is the exemption from CFTC registration as a Commodity Pool Operator (CPO) that is commonly used by general partners, managers and sponsors of private funds that trade futures. hernando chong do