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CPOs/CTAs (373)
Your search for CPOs/CTAs returned 373 results.
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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...
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
9/19/2018 | Content area: Investment Adviser | CPO/CTA
The Commission’s amended complaint alleged that Bruton and Hope perpetrated a scheme to charge unearned fees to the HI Fund. Specifically, the HI Fund...
8/13/2018 | Content area: CPO/CTA
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...
6/08/2018 | Content area: CPO/CTA
All associated persons that engage in swaps activities will have to undergo an online proficiency exam beginning in early 2020, according to the NFA. ...
5/03/2018 | Content area: CPO/CTA
Institutional investors that don’t control a commodity fund’s “operations or its investment decisions” could qualify for an exemption from the CFTC’s ...
1/12/2018 | Content area: CPO/CTA
Carter and Slobodnik told prospective and actual participants that Blue Guru would use their money to trade futures, including the Dow Jones E-mini an...
1/09/2018 | Content area: CPO/CTA
Regulators’ interest in bitcoin and other virtual currencies just took another big step.   The National Futures Association now requires CPOs and CTAs...
12/14/2017 | Content area: CPO/CTA
The impending introduction of MiFID II continues to reverberate on this side of the Atlantic (IA Watch, Nov. 30, 2017).   The latest example comes fro...
12/12/2017 | Content area: CPO/CTA
The Simmons Consent Order finds that Simmons told clients and prospective clients, falsely, that he traded futures contracts “live” in the Room. Accor...
12/07/2017 | Content area: CPO/CTA
Like holiday songs filling the air once again in December, so, too, does the National Futures Association remind CPOs and CTAs that claim exemptions f...
11/17/2017 | Content area: CPO/CTA
Suite and STA Opus fraudulently solicited customers by falsely representing that STA Opus’ commodity pool had positive annual rates of return, when i...
11/13/2017 | Content area: CPO/CTA
the Defendants used Draven’s website, among other methods, to solicit potential pool participants to invest with Draven by telling them that their fun...
10/11/2017 | Content area: CPO/CTA
Allensworth began working with Weddle to solicit investments in the JustInfo LLC pool. The Complaint alleges that Allensworth and Weddle used fake tra...
10/10/2017 | Content area: CPO/CTA
In June 2011, the CFTC charged Reisinger and ROF with operating a fraudulent commodity pool that solicited approximately $4 million from pool particip...
9/29/2017 | Content area: CPO/CTA
Defendants allegedly solicited funds using two websites that claimed Profit Management had “over 15 years of successful online futures trading exper...
9/28/2017 | Content area: CPO/CTA
Be sure you have a compliance P&P for alerting you when a transaction has cleared your CPO account. That’s a confirmed takeaway from a CFTC enforcemen...


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