US Derivatives Regulation: CFTC Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs) | Practical Law

US Derivatives Regulation: CFTC Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs) | Practical Law

A Practice Note detailing CFTC rules for commodity pool operators (CPOs) and commodity trading advisors (CTAs), including registration, reporting, and recordkeeping requirements. This Note also discusses expansion of the definition of "commodity pool" under the Commodity Exchange Act (CEA), as mandated by the Dodd-Frank Act, to include entities such as investment funds and securitization vehicles that use derivatives to provide investment exposure.

US Derivatives Regulation: CFTC Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs)

by Practical Law Finance
MaintainedUSA (National/Federal)
A Practice Note detailing CFTC rules for commodity pool operators (CPOs) and commodity trading advisors (CTAs), including registration, reporting, and recordkeeping requirements. This Note also discusses expansion of the definition of "commodity pool" under the Commodity Exchange Act (CEA), as mandated by the Dodd-Frank Act, to include entities such as investment funds and securitization vehicles that use derivatives to provide investment exposure.