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CFTC harmonizes investment adviser and CPO rules

Thursday, August 29, 2013
Opalesque Industry Update - Legal firm K&L Gates published an alert on the news that the Commodity Futures Trading Commission (“CFTC”) adopted long-awaited harmonization rules (“Harmonization Rules”) for operators of registered investment companies (“Registered Funds”) that are subject to registration as commodity pool operators (“CPOs”). The Harmonization Rules address regulatory issues that Registered Fund CPOs and Registered Funds face under dual regulation by the CFTC and the Securities and Exchange Commission (“SEC”) following the CFTC’s adoption in 2012 of amendments to CFTC Regulation 4.5 that require operators of Registered Fund to either limit such Registered Funds’ use of commodity interests or register as CPOs and submit to dual regulation by the CFTC and the SEC.

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