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CFTC Issues Highly Anticipated Harmonization Rules

by Sutherland Asbill Brennan LLP - Washington Office

August 15, 2013

Previously published on August 13, 2013

Today, the Commodity Futures Trading Commission (CFTC) provided long-awaited clarification and relief to investment advisers that are registered with the CFTC as commodity pool operators (CPOs) and/or commodity trading advisors (CTAs). The CFTC issued final rules to harmonize certain compliance obligations of CPOs and CTAs with relevant Securities and Exchange Commission (SEC) requirements (Harmonization Rules) applicable to advisers to investment companies registered as such under the Investment Company Act of 1940 (RICs). The Harmonization Rules also amend certain CFTC compliance requirements that apply to all registered CPOs and CTAs.


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