Posts tagged as:

commodity pool

CPO Reporting Requirements | Commodity Pool Operator Compliance

November 20, 2009

CFTC Regulation 4.22 Overview

CFTC registered commodity pool operators have a number of regulatory and compliance issues to be aware of.  In addition to a having a compliance program which addresses the business and regulatory issues applicable to the manager, one of the more important compliance requirements is found in CFTC Regulation 4.22 which provides the [...]

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NFA Rule Compliance Rule 2-45 Approved

September 26, 2009

CPOs Prohibited From Taking Loans From Commodity Hedge Funds
The CFTC just recently approved a new NFA compliance rule which prohibits commodity pool operators (CPOs) from taking loans from the commodity pools which they manage. Additionally, if a CPO currently has some sort of a loan arrangement with their fund, such CPO will have until [...]

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NFA Cracks Down on CPO Fraud with New Compliance Rule

May 29, 2009

Proposes Amendments to Compliance Rule 2-45
The National Futures Association (NFA) proposed new amendments to Compliance Rule 2-45 regarding prohibition of loans by pools to commodity pool operators and related parties.  The amendment states that no Member CPO may permit a commodity pool to use any means to make a direct or indirect loan or advance [...]

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Commodity Hedge Fund Reminder

January 10, 2009

CPOs Reminded to Always File Timely Reports
The following release details the CFTC sanctions against four commodity pool operators (CPOs) for failure to make timely filings with the NFA.  The CPOs failed to make filings of the respective commodity pool annual report.  This report must be provided to all pool participants (investors) and must also be [...]

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Hedge Fund Strategy - Energy Focused Hedge Funds

December 4, 2008

We have previously provided an overview of hedge fund trading strategies.  While we mentioned the major trading strategies, we did not mention some of the more niche trading strategies like energy focused hedge funds.  Energy focused hedge funds can utilize a number of different trading strategies from investing only in energy related companies to investing [...]

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NFA sends request for financials to Commodity Hedge Funds

September 29, 2008

Hedge fund managers which are licensed as commodity pool operators (CPOs) should have received an email from the NFA which requests certain financial information. While not disclosed on their website, the NFA sent a request on Friday to all of the CPO Members. Each member will need to make a filing which represents (i) the [...]

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