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Private Fund Managers Trading in Futures and Swaps: The New Regime

Event | 28 February, 2012

On 9 February, 2012, the Commodity Futures Trading Commission rescinded its Rule 4.13(a)(4), historically one of the most widely used exemptions from registration as a commodity pool operator (CPO), especially for non-US fund managers. CFTC Chairman Gary Gensler has stated, "it is critical to bring...[US and foreign managers] back into the light," so that investors can benefit from the CFTC's oversight.

Katten will address the following questions at its Breakfast Seminar on 28 February:

  • Who is affected by the rescission of CFTC Rule 4.13(a)(4)?
  • Are any other exemptions from CPO registration available?
  • What does registration as a CPO require?
  • When will registration and full compliance be required?
  • What compliance obligations apply to a registered CPO?
  • Is there any form of exemptive relief for a registered CPO?
  • What is Form CPO-PQR?

Limited places are available and the seminar will be on a first-come, first-served basis.

Click here to register.

For further information, please contact Wai-Lan Cheung at +44(0) 20 7776 7628.

CPD Accredited

Oriental Room
London Capital Club