Wednesday October 7 2020

News Source: Fund Regulation

Focus: US Form CPO-PQR

Type: General

Country: US

The Commodity Futures Trading Commission (CFTC) has approved a final rule adopting amendments to Form CPO-PQR for commodity pool operators (CPOs).

The amendments to Form CPO-PQR include:

  • eliminating existing Schedules B and C of the form, except for the Pool Schedule of Investments;
  • amending the information requirements and instructions to request Legal Entity Identifiers (LEIs) for commodity pool operators and their operated pools that have them, and to delete questions regarding pool auditors and marketers; and
  • making certain other changes due to the rescission of Schedules B and C, including the elimination of all existing reporting thresholds.

The final rule also amends CFTC Regulation 4.27 to permit reporting CPOs to file NFA Form PQR, a comparable form required by the National Futures Association, in lieu of filing the CFTC’s revised form.

Click on the link for further information.