Commodity Pool Operator Support Services

Commodity Pool Operator Support Services

Following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Commodity Futures Trading Commission ("CFTC") introduced updated requirements for greater reporting of data as well as appointing and registering a Commodity Pool Operator (CPO). The Maples Group provides third-party outsourcing services to financial institutions, institutional investors, investment managers and international corporations managing CPO funds, assisting clients with the set up and registration of their CPO and supporting ongoing compliance with regulatory reporting requirements. Our team of Series 3 licensed professionals has broad experience servicing and administering a range of investment vehicles that are deemed commodity pools, taking a tailored approach to delivering solutions that meet the specific needs of clients.
 

FORM CPO-PQR AND CFTC/NFA EXEMPTION FILING SUPPORT

The CFTC and the National Futures Association (NFA) have implemented data aggregation and reporting requirements for registered CPOs with Form CPO-PQR requiring registered advisors to provide manager, portfolio and risk information about their funds. This information includes CPO fund relationships disclosure of portfolio allocation across asset classes, industry sectors collateral, certain counterparty exposure, and other aspects of their operations.

The Maples Group can support clients with certain CFTC/NFA registration exemption filings and monitoring support. Specific services include:

• Tracking and managing certain registration exemption filings (e.g. the CFTC Rule 4.7 and Rule 4.13(a)(3) initial and annual filings)
• Aggregating data to produce only the required reporting for relevant sections of Form CPO-PQR; and
• Liaising with the CPO to confirm mappings for new positions held in the portfolios.