In a long-awaited move, the CFTC proposes to codify staff relief (No-Action Letter 19-17) to permit FCMs to treat advisers' clients’ separately managed accounts at the FCM as separate accounts for purposes of margin requirements.
March 23, 2023
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.
September 20, 2022
Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.
December 15, 2021
Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021 Federal agencies recently released the spring 2021 update...
June 16, 2021
CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form June 15, 2021 The Commodity Futures Trading Commission (CFTC) Market Participants Division has published 20 new frequently asked...
June 15, 2021