Investment Adviser Association Archives - Managed Funds Association

Buy-Side Associations Submit to CFTC Follow-Up Request to Allow Netting of OTC Swaps in Certain Circumstances for Compliance with CPO De Minimis Trading Registration Exemption08.29.14

MFA, jointly with Investment Company Institute, Investment Adviser Association, Alternative Investment Management Association and the Asset Management Group of the […]

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Topics: CFTC Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight, Investment Company Institute, ICI, Investment Adviser Association, IAA, SIFMA AMG, AIMA, Alternative Investment Management Association, registered investment companies, private fund, privately offered fund, uncleared swaps, swaps, net notional test, de minimis, commodity interests, Jennifer Wood, Cary Meer, K&L Gates LLP, netting,

MFA Files Petition for Rulemaking to Amend Certain CPO/CTA Recordkeeping Requirements07.21.14

MFA, jointly with the Investment Adviser Association and the Alternative Investment Management Association, submitted a petition to the Commission to […]

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Topics: IAA AIMA, Investment Adviser Association, Alternative Investment Management Association, CFTC, Commodity Futures Trading Commission, recordkeeping, adviser registration, recordkeeping requirements, commodity pool operator, CPO, commodity trading advisor, CTA, permissible entity, no-action relief, Petition for Rulemaking, investment management industry, pooled investment vehicles, separate account structure, investment adviser, commodity, burdensome, electronic recordkeeping regulations, Investment Company Institute, ICI, National Futures Association, NFA, SEC, Securities and Exchange Commission, examination, broker-dealer, futures commission merchant, FCM, introducing broker, forwards, forward transactions, Word Perfect, harmonize compliance obligations, registered investment companies, brokerage, custodian, Transfer Agent, harmonization, U.S. Department of Justice, third-party recordkeeper, compliance burden,

MFA Submits Joint Comment Letter to CFTC on Netting of Uncleared Swaps for 4.5 and 4.13(a)(3)01.25.13

MFA jointly submitted with the Investment Company Institute, Investment Adviser Association and the Asset Manager’s Group of SIFMA a letter […]

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Topics: CFTC Commodity Futures Trading Commission, Investment Company Institute, ICI, Investment Adviser Association, IAA, SIFMA's Asset Management Group, mutual funds, closed-end fund, exchange-traded funds, ETF, unit investment trust, UIT, Securities and Exchange Commission, SEC, institutional investors, Pension Funds, Trust, investment company, private funds, endowments, foundations, Division of Swap Dealer and Intermediary Oversight, registered investment companies, RICs, net notional test, commodity interests, commodity pool operator, CPO, registration, adviser registration, net notional value, regulation, netting, futures contracts, options, Designated Contract Market, DCM, derivatives clearing organization, DCO, hedge funds, private equity funds, counterparties, de minimis, execution, straddle rules, Karrie McMillan, Sarah A. Bessin, Rachel H. Graham, Karen L. Barr, Tim Cameron, Amanda Olear, Michael W. Ehrstein,

MFA Submits Joint Trade Associations Request to CFTC for Relief with Respect to Investments in Securitization Vehicles11.30.12

MFA submitted a letter with the Investment Adviser Association, the Investment Company Institute, and the Asset Management Group of the […]

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Topics: Commodity Futures Trading Commission CFTC, securitization, securitization vehicle, commodity interests, registration, Investment Adviser Association, Investment Company Institute, SIFMA's Asset Management Group, IAA, ICI, Division of Swap Dealer and Intermediary Oversight, commodity pool operator, compliance, commodity trading advisor, CTA, CPO, investment pool, Dodd-Frank Act, real estate investment trust, REIT, no-action letters, CFTC Letter No. 12-13, mortgage REIT, foreign REIT, American Securitization Forum, ASF, fixed income securities, Tom Deutsch, Gary Barnett, public disclosure, commodity pool, Issuer, swaps, security-based swaps, David Stawick, Gary Gensler, Jill Sommers, Scott O'Malia, Bart Chilton, Mark Wetjen, investment fund, market participants,

Request for Delayed CPO Compliance Date for Funds of Funds11.09.12

MFA submitted jointly with the Investment Adviser Association a letter to the Commodity Futures Trading Commission (CFTC) requesting for a […]

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Topics: Commodity Futures Trading Commission CFTC, Investment Adviser Association, IAA, commodity pool operator, CPO, commodity trading advisor, CTA, fund of funds, Securities and Exchange Commission, SEC, institutional investor, pension, Trust, investment company, private fund, endowments, foundations, corporations, risk management, de minimis threshold, commodity pool, Division of Swap Dealer and Intermediary Oversight, interpretive guidance, National Futures Association, NFA, registration, registration requirements, adviser registration, foreign exchange transactions,

Buy-Side Associations Submit Requests to CFTC on Foreign Exchange Swaps and Forwards09.28.12

MFA jointly with several other buy-side trade associations (the “Associations”), sent CFTC Chairman Gensler a letter requesting that the CFTC […]

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Topics: Gary Gensler FX forwards, FX swaps, swaps, Commodity Futures Trading Commission, CFTC, SIFMA's Asset Management Group, Investment Company Institute, ICI, Managed Funds Association, MFA, Investment Adviser Association, IAA, Department of the Treasury, compliance date, endowments, Pension Funds, institutional investors, ERISA, asset managers, foreign exchange, Dodd-Frank Act, commodity trading advisor, CTA, commodity pool operator, CPO, major swap participants, MSPs, registered investment companies, registration, market participants, portfolio risk, currency risk, Securities and Exchange Commission, SEC, Barney Frank, House Committee on Financial Services,

Buy-Side Associations Submit Requests to Treasury on Foreign Exchange Swaps and Forwards09.28.12

MFA jointly with several other buy-side trade associations (the “Associations”), sent Treasury Secretary Geithner a letter requesting that he make […]

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Topics: Timothy Geithner forwards, swaps, FX forwards, FX swaps, Department of the Treasury, SIFMA's Asset Management Group, Investment Company Institute, ICI, Managed Funds Association, MFA, Investment Adviser Association, IAA, foreign exchange, derivatives, commodity trading advisor, CTA, commodity pool, commodity pool operator, CPO, major swap participants, MSPs, registered investment companies, private funds, endowments, pension fund, ERISA, institutional investors, asset managers, Dodd-Frank Act, product definition rules, Commodity Futures Trading Commission, CFTC, Securities and Exchange Commission, SEC, compliance, asset management firms, registration, investment advisers, National Futures Association, NFA, swap positions, Associated Persons, principal, regulatory costs, United States Congress, safe harbor, market participants, Unwind, FX Products, hedge, currency risk, liquidity, Security-Based Swap Dealer, Major Security-Based Swap Participant, eligible contract participant, ECP, Barney Frank, House Committee on Financial Services,

MFA and Other Trade Associations Submit Summary of LSOC Issues to CFTC Commissioners08.07.12

MFA, along with SIFMA AMG, ICI and IAA, submitted a joint trade association summary to the Commissioners of the Commodity […]

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Topics: CFTC Commodity Futures Trading Commission, Investment Company Institute, ICI, SIFMA, SIFMA's Asset Management Group, Securities Industry and Financial Markets Association, Investment Adviser Association, IAA, margin, variation margin, initial margin, DCO, excess margin, risk, interpretive guidance, Non-Defaulting Customer Collateral, netting, FCM, futures commission merchant, credit, cleared swaps, swaps, customer accounts, collateral, segregation, stress testing,

MFA Files Joint Letter to CFTC Requesting a Time Extension for Compliance with Amendments Regarding Section 4.1304.30.12

MFA, IAA, and AIMA filed a letter requesting the CFTC grant an extension in time for compliance with the amendments […]

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Topics: Investment Adviser Association IAA, Alternative Investment Management Association, AIMA, Commodity Futures Trading Commission, CFTC, commodity pool operator, CPO, CPO registration requirements, commodity trading advisor, CTA, pool, swaps, Associated Persons, fingerprint cards, proficiency requirements, investment firms, market participants, portfolio analysis, registration, compliance, National Futures Association, NFA, commodity interests, electronic trading models, Form 8-R, Series 3 Exam, registration statement, hedging activities, Form 7-R, Dodd-Frank Wall Street Reform and Consumer Protection Act, Dodd-Frank Act, Third Party Service Providers, Securities and Exchange Commission, SEC, Form ADV, private pool, wholly-owned subsidiary, margin requirements, security-based swaps, credit default swap, CDS, margin, initial premiums, swap contracts, back testing, aggregate trading, net notional test, futures, options,

MFA Submits Comment Letter to CFTC on Harmonization Proposal on Compliance Obligations04.24.12

MFA submitted comments to the CFTC on its Harmonization Proposal on compliance obligations for the operators of registered investment companies […]

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Topics: CFTC Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, commodity pool operator, Regulation 4.5 Harmonization, harmonize compliance obligations, registered investment companies, RICs, CPO, privately-offered funds, investment advisers, Part 4 regulations, disclosure documents, prospectus delivery, financial reporting obligations, pool participant, disclosure of fees, certification language, funds, securities, prospective investor, exchange-traded funds, ETF, transparency, accessibility, privately-offered pools, public pools, foreign exchange, international disclosure standards, International Organization of Securities Commissions, IOSCO, Dodd-Frank Wall Street Reform and Consumer Protection Act, Dodd-Frank Act, commodity interests, swaps, U.S. investors, prospectus, SEC Form N-1A, SEC Form N-2, JOBS Act, Ban on General Solicitation and Advertising, mutual fund prospectus, filing deadline, audited financial statements, quarterly account statements, NFA, National Futures Association, fund of funds, Hard-to-Value Assets, illiquid assets, Third Party Service Providers, Investment Adviser Association, CTA, commodity trading advisor, commodity ETF, Form ADV, Karen L. Barr,

MFA Comment Letters

Topic: Investment Adviser Association