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市场监管 · 2013/8/221 分钟阅读
Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
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摘要
The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting final regulations with respect to certain compliance obligations for commodity pool operators ("CPOs") of investment companies registered under the Investment Company Act of 1940 ("registered investment companies" or "RICs") that are required to register due to the recent amendments to its regulations. The Commission is also adopting amendments to certain provisions of part 4 of the Commission's regulations that are applicable to all CPOs and Commodity Trading Advisors ("CTAs").
来源原始语言: Federal Register — CFTC打开原始公告 →