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CPOs/CTAs (389)
Your search for CPOs/CTAs returned 389 results.
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7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7973-19 July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To ...
7/05/2019 | Content area: CPO/CTA
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they...
6/27/2019 | Content area: CPO/CTA
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should consider withdr...
5/23/2019 | Content area: CPO/CTA
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore.   In a new enforcement settlement, Graham and his C...
5/23/2019 | Content area: CPO/CTA
The reason that the Fund Complex has a CPO registration issue with respect to “A” is because “B” is used as a conduit for the Funds’ de minimis commod...
5/07/2019 | Content area: CPO/CTA
Although “D” and “A” are not under common control, and neither “D” nor “A” controls the other, they will remain jointly and severally liable for any v...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/04/2019 | Content area: CPO/CTA
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO i...
4/02/2019 | Content area: CPO/CTA
the court found that the defendants fraudulently solicited and accepted funds from customers for the purported purpose of trading forex. Further, the...
3/14/2019 | Content area: CPO/CTA
The patience of the NFA has run out in regards to the El Segundo, Calif.-CPO Quants Capital Management and its former principal Gokhan Kisacikoglu. Th...
3/08/2019 | Content area: CPO/CTA
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs...
3/08/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to reg...
2/14/2019 | Content area: CPO/CTA
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
2/07/2019 | Content area: CPO/CTA
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Pr...
12/20/2018 | Content area: CPO/CTA
The comment period closed last week for the CFTC’s October proposal directed at CPO/CTA registration (CPO/CTA Watch, Oct. 11, 2018). Some 30 comments ...
12/13/2018 | Content area: CPO/CTA
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat.   In...
10/11/2018 | Content area: CPO/CTA
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...


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