Tag

Form ADV Archives - Indus Valley Partners

SEC extends Regulatory filing in-light of COVID–19

COVID-19 Prompts SEC to Extend Regulatory Filing and Delivery Deadlines

By | Blog, Raptor | No Comments

Amid coronavirus’ growing impact on both the health of citizens and institutions around the globe, authoritative organizations everywhere have taken action to help ease some of the burdens that are coinciding with nationwide lockdowns, closures of non-essential businesses and more. In an effort to mitigate the potential ramifications of the virus on financial market participants, the SEC has announced this month that it will be extending filing deadlines for a number of regulatory obligations including Form ADV, Form PF and Brochure Delivery.
Read More

Valuable Insights on CPO-PQR Reporting

Valuable Insights on CPO-PQR Reporting

By | Blog, Raptor | No Comments

Commodity  Pool Operators (CPOs) are required to file information regarding their firm and pools operations as mandated by the Commodities and Futures Trading Commission (CFTC) and the National Futures Association (NFA).

The size of the CPO determines whether filing is required by the CFTC or NFA and Form CPO-PQR is a single filing to accommodate both regulators.

This filing requires CPOs to provide manager, portfolio, performance and risk information about their funds which includes investment strategy, asset classes, risk metrics, collateral, counterparty credit exposure and many more aspects of operating the pool

Read More