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

Proposed Amendment to 13F – What This Really Means?

The SEC released a proposed amendment to Form 13F on July 10 to update the reporting threshold for institutional investment managers and make other targeted changes. The threshold has not been adjusted since the Commission adopted Form 13F over 40 years ago. New Proposed Reporting Threshold: The proposal would raise the reporting threshold to $3.5 … Continued

SEC Issues New Cyber Risk Alert to Financial Firms

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July 10, 2020 by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).  This new risk alert on ransomware cautions investment advisers, broker-dealers, and investment companies that OCIE has recently observed a marked … Continued