Aggregated News From Investment Management Regulators

CFTC Unanimously Approves a Final Rule Amending Form CPO-PQR

Report/Flag

Please complete the required fields.



— The Commodity Futures Trading Commission at its open meeting today unanimously approved a final rule adopting amendments to Form CPO-PQR for commodity pool operators (CPOs).

The amendments to Form CPO-PQR (1) eliminate existing Schedules B and C of the form, except for the Pool Schedule of Investments; (2) amend the information requirements and instructions to request Legal Entity Identifiers (LEIs) for commodity pool operators and their operated pools that have them, and to delete questions regarding pool auditors and marketers; and (3) make certain other changes due to the rescission of Schedules B and C, including the elimination of all existing reporting thresholds.

The final rule also amends CFTC Regulation 4.27 to permit reporting CPOs to file NFA Form PQR, a comparable form required by the National Futures Association, in lieu of filing the CFTC’s revised form. [See voting draft for effective and compliance dates.]

Related Commission Action

The Commission also announced at the open meeting the approval of an MOU between the CFTC and the Office of Financial Research (OFR) that establishes a framework for the CFTC to share with OFR information and data reported on Form CPO-PQR. [See CFTC Press Release No. 8276-20]. Sharing this information allows both agencies to fulfill their statutory and regulatory mandates.

Additional information on the final rule, including statements of the Chairman and the Commissioners, is available here.

 

Source link

Regulator Information

Abbreviation: CFTC
Jurisdiction: USA

Recent Articles

SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR

The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR).

Regulation for a different world

Speech by our CEO, Nikhil Rathi, delivered at Association of Foreign Banks – CEO Programme 2021 – The UK Regulatory Landscape Post-Brexit and Beyond.  Speaker: Nikhil...

Keynote speech by the Chairman of the FSMA at a high-level conference on sustainability reporting organized by the European Commission

On Wednesday, 6 May 2021, Jean-Paul Servais, Chairman of the FSMA and Vice Chair of IOSCO, gave a speech at a major conference of...

Credit Suisse Bonds / Suisse Capital Wealth Bonds (Clone of FCA authorised firms)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

www.myinvestmentoptions.co.uk

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

Get the latest from Regulatory.News in your inbox!

×