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

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