Editorial Note: In a follow-up to our summary of the SEC’s new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to...more
For the last three decades, CFTC Regulation 4.7 has provided registered CPOs and CTAs with exemptions from certain compliance requirements under Part 4 of the Commodity Exchange Act, in their dealings with investors and...more
The Securities and Exchange Commission (SEC) has been very busy these last few weeks as evidenced by a series of rule proposals released as part of what looks like an ambitious agenda for 2022. This includes tackling areas...more