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CPO/CTA Compliance Toolbox

A peer shares the firm's recent document request letter from an NFA exam.
A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.
A peer passes on the firm's NFA exam letter.
This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...
A peer shares what the National Futures Association requested during an exam.
A peer shares a copy of an NFA exam letter sent to a CPO/CTA adviser.
Click here to open a Word file that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...
This is a chart, shared with permission of Bingham, that shows compliance requirements for commodity pool and trading advisers filing various required forms with the ...
This is the so-called Appendix A, which the CFTC eliminated in new rulemaking in 2012. The elimination meant that some fund of funds advisers may ...
A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other ...
Here is a visual presentation of what types of products are considered to be swaps, security-based swaps and those deemed to be outside the CFTC ...
This is a list of frequently asked questions released by the CFTC in August 2012 to help advisers decide whether they must register as commodity ...
This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...
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