The CFTC to stress that it “expects a compliance function to serve as a meaningful check: to ensure proper systems are in place to detect ...
The year in enforcement resulted in more than $14 million being returned to 700 harmed investors and the collection of $2.7 million in fines
One new rule means a CFTC-registered CPO could opt for non-registration for one of its pools. But this CPO couldn’t be in the U.S. and ...
One director compared the existing Form CPO-PQR with “a Jackson Pollock painting” that badly needed updating
A third historic note came in a case in which elderly clients were allegedly victimized with more than $180 million in losses
A compliance program that looks adequate to enforcement staff can result in lower civil money penalties after an enforcement action
In one case, a CTA has operated for 20 years without allegedly joining the NFA
If confirmed, Bowes could serve until 2025
The third goal promises to emphasize “our tradition of principles-based regulation where appropriate” and to address “any regulations that no longer serve a regulatory purpose”
The pandemic and market volatility that “has reached historic levels” explain the change
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: