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CFTC clarifies CTP/CPO compliance requirements

Questions asked and answered...

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August 14, 2012 • Reprints

CFTC seal CFTC seal

Washington, DC – The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a set of responses to frequently asked questions (FAQs) regarding compliance obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

The FAQs address a variety of issues/concerns related to the compliance obligations for CTAs and CPOs that were raised over the past several months by a number of market participants.

The issues/concerns include: compliance dates, wholly owned subsidiaries, trading limits, and the process for transitioning from an exemption from registration under Commission regulation 4.13(a)(4) to either registering or claiming another exemption. DSIO staff anticipates supplementing or revising the FAQs as needed.

Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions – CPO/CTA: Amendments to Compliance Obligations

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