CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies; SEC Issues Related Guidance

August 15, 2013
Client Alert

The Commodity Futures Trading Commission recently adopted final rules regarding compliance obligations for commodity pool operators of investment companies registered under the Investment Company Act of 1940. The harmonization rules generally provide that the CFTC will accept compliance with the disclosure, reporting and recordkeeping regime administered by the Securities and Exchange Commission as substituted compliance for substantially all of Part 4 of the CFTC’s regulations.

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