EVENT: Archive Jul 6, 2011


Transcript

CFTC Staff Roundtable Discussion on Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors


Staff from the Commodity Futures Trading Commission (CFTC) will hold a public roundtable to discuss issues related to registration and compliance regime for Commodity Pool Operators and Commodity Trading Advisors.

When:

Wednesday, July 6, 2011, 9:00 a.m.

Where:

CFTC’s Hearing Room, 1155 21st, NW, Washington DC

Topic:

Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors

Listening Information:

 

Call-in to a toll-free or toll-telephone line to connect to a live audio feed. Call-in participants should be prepared to provide their first name, last name and affiliation. Conference call information is listed below:

 

US Toll-Free: 1-866-844-9416

International Toll: International Numbers

Passcode: 9730043

This event is open to the public.

CFTC Press Release 6060-11

Comment file for 76 FR 7976

List of Participants

Roundtable Video, Part 1
Roundtable Video, Part 2

NOTE: Members of the public who wish to comment on the topics addressed at the discussion, or on any other topics related to registration and compliance for commodity pool operators and commodity trading advisors in the context of the Act, may do so.

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Agenda

Agenda for the Public Roundtable Discussion:

9:00 a.m.

First Session—Commission Regulation 4.5

 

Scope.

    a. Appropriate Threshold to Claim Exclusion.

    b. Marketing Restriction.

    c. Who Should Register as the CPO?

    d. Alternatives to the Proposal.

9:35 a.m.

Intermission

9:40 a.m.

Second Session—Commission Regulation 4.5

 

Harmonization with Securities and Exchange Commission Requirements.

    a. Disclosure Requirements.

    b. Disclosure Delivery and Updating Requirements.

    c. Participant Reporting Requirements.

11:00 a.m.

Break for Lunch

12:00 noon

Third Session—Commission Regulation 4.5

 

Harmonization with Securities and Exchange Commission Requirements.

    a. Books and Records.

    b. Use of Controlled Foreign Corporations.

12:40 p.m.

Fourth Session—Commission Regulation 4.13(a)(3)

 

De Minimis Exemption.

    a. Appropriate Threshold to Claim Exemption.

    b. Alternative Standards.

1:25 p.m.

Intermission

1:30 p.m.

Fifth Session—Commission Regulation 4.13(a)(4)

 

Alternative Exemptions.

    a. Family Offices.

    b. Foreign Commodity Pool Operators.

    c. Other Alternatives.

2:00 p.m.

Roundtable concludes


Last Updated: July 13, 2011