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 & submit the form below to download this ComplianceCast™

Thank you!

Your download will appear below momentarily.

Download Now.


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.

Latest Content

From One CCO to Another: Don’t Lie to the SEC

Every once in a while, I think it’s important to get back to the basics. Since the adoption of the compliance rules in 2004, the Securities and Exchange Commission staff has repeatedly stated that the intent of the rules were not to hunt CCOs. Great pains have been made to enlist CCOs support in ensuring … Continued

BME Partners with CSS to Strengthen its Regulatory Service Suite

BME to offer financial services firms in Spain and Portugal a multi-regulation reporting platform Partnership brings a unique combination of local market presence and global coverage BME has partnered with Compliance Solutions Strategies (CSS), a leading RegTech platform provider, to offer a global regulatory reporting solution in Spain and Portugal. The combination of BME’s local … Continued

Compliance Solutions Strategies Acquires AMFINE

Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading RegTech platform providing technology-driven solutions which enable financial services firms to meet mandatory regulatory compliance requirements, today announced the acquisition of AMFINE (“AMFINE”), a provider of SaaS-based regulatory reporting services to European asset managers, asset … Continued