Regulatory Alerts2019-12-10 | 2019-26162Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Family Offices and Exempt CPOs
The Commodity Futures Trading Commission adopted final rules amending regulations for commodity pool operators and commodity trading advisors to incorporate prior no-action and exemptive relief into formal regulations. The amendments establish registration exemptions for family offices, permit general solicitation by qualifying exempt CPOs consistent with the JOBS Act, and allow non-U.S. persons to participate in de minimis exempt pools. These changes aim to increase transparency and reduce regulatory burdens while maintaining market protections.
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