Page 17 - 期货和衍生品行业监管动态（2024年2月）

期货和衍生品行业监管动态

CFTC Approves a Joint Final Rule to Amend Form PF Regarding Reporting

Requirements for All Filers and Large Hedge Fund Advisers (2024/2/8)

The Commodity Futures Trading Commission today announced it has approved

a final rule that amends Form PF concurrently with the Securities and Exchange

Commission (SEC) as required by the Dodd-Frank Wall Street Reform and Consumer

Protection Act of 2010. Form PF is the confidential reporting form for certain

investment advisers to private funds that are registered with the SEC, including those

also registered with the CFTC. Additionally, the CFTC and SEC have agreed to a

memorandum of understanding related to the sharing of Form PF data between the

Commissions.

The amendments to Form PF are designed to enhance the Financial Stability

Oversight Council’s ability to monitor systemic risk, as well as to bolster the

regulatory oversight of private fund advisers and investor protection efforts.

The final rule includes:

(1) Amendments to the General Instructions: These include changes to Form

PF’s instructions on reporting (a) master-feeder arrangements and parallel fund
structures; (b) private funds that invest in other funds; and (c) timelines.

(2) Amendments Concerning Basic Information about the Adviser and the

Private Funds it Advises: These include changes to Form PF’s questions collecting

Identifying Information in Section 1a, Information Concerning All Private Funds in

Section 1b, and Information Concerning All Hedge Funds in Section 1c.

(3) Amendments Concerning Information about Hedge Funds Advised by Large

Private Fund Advisers; and

(4) Other Amendments to Enhance Data Quality.

The effective/compliance date for the Form PF final rule is one year from the

date of publication in the Federal Register.

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