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Vedder Thinking | Articles New Guidance Available from CFTC for CPOs and CTAs Regarding Compliance Obligations


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On August 14, 2012, the Division of Swap Dealer and Intermediary Oversight of the U.S. Commodity Futures Trading Commission (CFTC) released answers to frequently asked questions regarding compliance obligations for commodity pool operators (CPOs) and commodity trading advisors (CTAs) in light of recent amendments to CFTC rules. Topics addressed include compliance dates, wholly owned subsidiaries, trading limits and the transition process for entities previously exempt under Regulation 4.13(a)(4).

If you have questions regarding the CFTC's new guidance or other issues related to compliance obligations, please contact Joseph M. Mannon at +1 (312) 609 7883 or Deborah Bielicke Eades at +1 (312) 609 7661.

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Deborah Bielicke Eades


Joseph M. Mannon