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Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state.

Concurring Statement Of CFTC Commissioner Dawn D. Stump Regarding Enforcement Action Against Payward Ventures, Inc. (d/b/a Kraken)

NFA Form PQR Amendments Are Now Effective - Finance and Banking

You Asked They Answered: The CFTC Publishes Updated FAQ for Form CPO-PQR | K&L Gates LLP

Introduction On 26 May 2021, the Commodity Futures Trading Commission’s (CFTC or the Commission) Market Participants Division (MPD) published updated responses to frequently asked questions regarding Form CPO-PQR and CFTC Regulation 4.27 (the 2021 FAQ). The purpose of the 2021 FAQ is to provide guidance to commodity pool operators (CPOs) filing the recently revised Form CPO-PQR. 1 Form CPO-PQR is a filing designed to collect data from registered CPOs 2 about each of their operated commodity pools. CFTC Regulation 4.27 requires that CPOs file Form CPO-PQR with the National Futures Association (NFA). 3 The Commission began requiring CPOs to file Form CPO-PQR in 2012. 4 On 6 October 2020, the Commission adopted a final rule that amended CFTC Regulation 4.27 and Form CPO-PQR (the 2020 Final Rule).

Archegos Scandal: Banks Are Now Wary of Family Office Deals

Family offices used to mean plum business for the big banks. But after the Archegos blowup, many are pulling the plug on their dealings with them.