The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
Taking this action will stop future NFA notices alerting you to file Form PR
Depending on who you listen to, the proposal either ignores Congress’ intent or makes common sense
The SRO provides two steps to check on registration/exemption status
Gain greater insight into how to do your break-even analysis for the NFA
You're directed to report “if your cloud service providers have been affected by this attack"
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
The changes harmonize the CFTC’s rules with the SEC’s
The CFTC’s new report also played up its parallel criminal cases
Rule requires P&Ps to protect customer records and information
New rules take effect with the first of the year
“The industry looks to these types of resolutions in structuring their own compliance” programs
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in 2017. Tarbert ...
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 ...
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