CFTC Registration Changes and the Form PF Initiative

This bonus ComplianceCast is specifically tailored for:

  1. SEC Registered advisers managing private funds, (if you reported funds in Item 7.B1 of Form ADV, in particular) and
  2. Advisers to funds that use futures, swaps, and other investments subject to CFTC regulations.

Form PF will require the filing of significant new and additional data that you may not currently store or segregate in the manner requested. Filing dates are coming soon. Too soon.

The CFTC has eliminated certain exemptions previously relied upon by fund managers that you need to consider. Certifications of exemptions may be a required filing for your firm.

  • Filing Deadlines
  • Key Considerations
  • Identify Your Requirements
  • Develop a Game Plan

Fill in the form below to download this ComplianceCast

Loading form...

Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Latest Content

Where Are Your Cybersecurity Blindspots with COVID-19?

Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce in the midst of the COVID-19 pandemic. While the availability of VPNs and cloud-based services has enabled firms to continue operating, the paradigm shift to an entire staff working from home has not come without … Continued

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued