Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
CPO/CTA NEWS & GUIDANCE
10/17/2019 | Content area: CPO/CTA
A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility h...
10/10/2019 | Content area: CPO/CTA
A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confide...
10/10/2019 | Content area: CPO/CTA
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The SRO ...
10/03/2019 | Content area: CPO/CTA
Prepare now if you’re at a larger CPO for the potential of a CFTC exam next year. The visit would be separate from whatever the NFA may do, according ...
9/12/2019 | Content area: CPO/CTA
The CEO of a purported CPO/CTA met his future CCO in the same spot where the fraudster lured many of his investors: church.   The congregant, Rafael M...
9/05/2019 | Content area: CPO/CTA
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The NFA h...
8/08/2019 | Content area: CPO/CTA
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a d...
8/01/2019 | Content area: CPO/CTA
With a new Prime Minister in the UK who promises a hard exit to Brexit, if necessary, the CFTC’s new Chairman Heath Tarbert pledges to “closely” monit...
8/01/2019 | Content area: CPO/CTA
With the clock ticking down to the end of a two-year-old CFTC “no-action” letter on Aug. 12, the Commission has acted to extend the relief until the s...
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...
7/18/2019 | Content area: CPO/CTA
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in ...
7/09/2019 | Content area: CPO/CTA
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that would set the minimum mar...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
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...
6/07/2019 | Content area: CPO/CTA
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...
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...
5/16/2019 | Content area: CPO/CTA
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator.   The Commission is proposing simp...
5/09/2019 | Content area: CPO/CTA
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. It offers everyt...
5/09/2019 | Content area: CPO/CTA
The NFA is reminding you that it has incorporated swaps and counterparties into seven existing compliance rules. The changes take effect July 1.   The...
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