MFA Comment Letters

Topic: private investment vehicles

MFA Submits List of Priorities to CFTC Chairman Massad and Commissioners07.30.14


MFA submitted letters to Timothy Massad, the newly confirmed Chairman of the Commodity Futures Trading Commission (CFTC), along with the […]

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Topics: aggregation AIMA, alpha swap, alternative investment funds, Alternative Investment Management Association, alternative investment strategies, anonymity, Asset Management Group of the Securities Industry and Financial Markets Association, assets under management, AUM, Bankruptcy Code, benchmark contracts, bespoke swaps, beta swap, board of directors, British Virgin Islands Financial Services Commission, burdensome, buy-side, cash-settled contracts, Cayman Islands, Cayman Islands Monetary Authority, CCP, central clearing, central counterparties, CFTC, chilling effect, cleared swaps, collateral, Committee of Payment and Settlement Systems, Commodity Futures Trading Commission, commodity interests, Commodity Markets Council, commodity pool, commodity pool operators, commodity trading advisors, compliance, corporations, CPO, CPO delegation, Cross-Border, CTA, custody rules, customer collateral, customer protection, DCM, DCO, Dealer, dealer-to-customer platforms, derivatives clearing organization, designated contract markets, Division of Market Oversight, Division of Swap Dealer and Intermediary Oversight, Dodd-Frank Act, due diligence, EFRPs, EMIR, EU, European Commission, European Union, exchange for related position, execution, exemptive relief, FCM, FCM counterparty, Financial Conduct Authority, financial counterparty, Financial Stability Board, floor brokers, Form CPO-PQR, Form CTA-PR, Form PF, Form PQR, FSB, Full Physical Segregation, fund of funds, futures commission merchant, GAAP, gamma swap, general partner, generally accepted accounting principles, gold, haircuts, harmonization, hedge fund, hedgers, Hong Kong, illiquid assets, initial margin, insolvency, inter-dealer market, interest rate markets, International Organization of Securities Commissions, International Swaps and Derivatives Association, introducing broker, invoice spreads, IOSCO, ISDA, J. Christopher Giancarlo, JOBS Act, legal segregation with operation commingling, limited liability companies, limited partnership, liquidity, loss allocation, LSOC, made available for trading, Major Swap Participant, mandatory clearing, Mark Wetjen, market infrastructures, market participant, master agreement, MAT, MF Global Inc., MSPs, National Futures Association, natural gas, NFA, no-action relief, Obama Administration, OTC derivatives, OTC Derivatives Regulators Group, owned entities, package transactions, passive ownership, Peregrine Financial Group, physically settled, Policy Makers, position limits, President Obama, price discovery, private equity fund, private funds, private investment funds, private investment vehicles, privately offered commodity pools, proprietary trading tools, public investment fund, quarterly account statements, real estate investment trust, recordkeeping requirements, registered investment adviser, regulation, regulatory framework, regulatory requirements, risk management, Scott O'Malia, SDR, SEC, Securities and Exchange Commission, Securities and Futures Commission, SEF, segregated account, service providers, Sharon Bowen, short, SIFMA AMG, silver, speculation, spot-month position limits, straight-through processing, swap butterflies, swap curves, swap data reporting, swap data repository, swap dealer, swap execution facilities, swaps, swaptions, systemic risk, temporary interim relief, third country, Timothy Massad, trading privileges, transparency, Trust, U.S. Commodity Futures Trading Commission v. Peregrine Financial Group Inc. and Russel R. Wasendorf, U.S. Congress, U.S. Department of the Treasury, U.S. person, United States, variation margin, Vincent A. McGonagle,

MFA Comment Letter to Canadian Securities Administrators on Registration Reform06.29.07


MFA submits comments and attachment to the Canadian Securities Administrators on Canadian registration reform.

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Topics: (NI31-103) absolute return strategies, accredited investors, accredited natural person, Administrative Costs, adviser registration, advisers, Alberta Securities Commission, alternative investment history, alternative investment opportunities, alternative investment vehicles, annual income threshold, assets under management, AUM, Autorite des Marches Financiers, British Columbia Securities Commission, broker-dealer, Canada, Canadian Securities Administrators', capital, capital markets, capital raising, CFTC, commodity futures, Commodity futures act, Commodity Futures Trading Commission, CSA, dealer registration exemption, dealer registration requirements, dealer registrayion exemption, defined term, Department of the Treasury, disclosure obligations, distressed, educational outreach, EU, European Union, exempt market trades, exposure, Federal Reserve Board, financial eligibility, financial institutions, financial markets, financing, flow-through analysis, Fraud, fund of funds, fund units, fund-of-funds, funds, global alternative investment industry, global financial marketplace, grandfather provision, hedge fund consultant, hedge fund industry, hedge funds, hedging, income tests for inflation, international capital markets, international investment fund manager, international portfolio manager, investment company, investment sophistication, Labrador, large activist posistions, leveraged buyout, limited market dealers, liquidity, managed futures funds, Manitoba Securities Commission, market intermediaries, National instrument 45-106, natural persons, net worth threshold, New Brunswick Securities Commission, Non-Canadian Hedge Fund Securities, Non-Ontario Regime, non-resident dealers, non-resident exemptions, Nova Scotia Securities Commission, offering document, offering memorandum, offshore investment vehicles, oil and gas, Ontario Regime, Ontario registered dealer, Ontario Securities Commission, pension plans, policymakers, pooled investment products, President's Working Group on Financial Markets, price efficiency, private equity, private equity funds, private investment vehicles, private placement, private pools of capital, privately offered fund, professional investment management for hedge fund managers, Proposed National Instrument 31-103, Prospects and Registration Exemptions, prospectus exemption, PWG, real estate funds, Register of Securities Northwest Territories, Register of Securities Nunavut, Register of Securities Prince Edward Island, Register of Securities Yukon Territory, registered broker-dealer, registration requirements, regulation, regulatory authorities, Regulatory Authority, regulatory regimes, retirement plans, risk distribution, risk-adjusted performance, Saskatchewan Financial Services Commission, securities, sophisticated investors, standards, Superintendent of Securities Newfoundland and Labrador, U.S. federal securities laws, United Kingdom, venture capital, well-developed capital markets, White Paper,

MFA Submits Comments to SEC on Proposals for Accredited Natural Person and Antifraud Rules03.09.07


MFA submits comment letter and attachment to the SEC on Proposals for Accredited Natural Person and Antifraud Rules.

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Topics: 100 beneficial owners 3(c)(1) funds, 3(c)(7) funds, accounting officers, accredited investor, accredited investor standard, Accredited Natural Person Proposal, alternative investment industry, American Bar Association, antifraud proposal, attorneys, beneficial owners, broker dealers, brokers, capital markets, cash room, Christopher Cox, competition, compliance, conflicts of interest, deferred compensation, Department of the Treasury, dialogue, direct investment, due diligence, eligible contract participant, ERISA Issues, financial eligibility standard, financial eligibility standards, fund employees, Goldstein decision, grandfathering provision, hedge funds, illiquid investments, incentive compensation, industry innovation, Investor Protection, joint property, Jonathan Shieber, legal counsel, Limited Partnership Agreement, liquidity, Lock-up, managed futures funds, management, net worth, net worth threshold, Office of Economic Analysis, operational, pooled investment vehicles, President's Working Group on Financial Markets, price efficiency, private equity, private investment vehicles, private placement memorandum, private pools, Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles, Pui-Wing Tam, PWG, qualified client, qualified eligible person, qualified institutional buyer, qualified purchaser, Randal Quarles, real estate, Regulatory Structure, Request for Proposal, research analysts, risk distribution, risk-adjusted performance, Robert Steel, scienter, SEC, Securities and Exchange Commission, Senate Committee on Banking Housing and Urban Affairs, side letters, start-up funds, Stephen Heuser, Stuatory Authority, Subscription Agreement, tax issues, Thomas Lemke, traders, transfer procedures, transparency, U.S. economy, venture capital, withdrawal,
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