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CPO/CTA Latest News

Washington, D.C., USA- January 12, 2020: Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.
It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case ...
AI ChatBot technology concept. 3D render
The burgeoning use of artificial intelligence has inspired the CFTC to issue new guidance targeted at all registered entities, including CPOs and CTAs
Shot of two coworkers having a discussion in modern office. Businessman and businesswoman in meeting using digital tablet and discussing business strategy. Confident business people working together in the office. Creative business persons discussing new project and sharing ideas in the workplace.
Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps
Woman holding ai icons with laptop
Predictions already note that as more of the financial services industry adopts artificial intelligence technologies, the bad guys will as well. Envision dueling AI
New virtual money concept, Gold Bitcoins ( btc ) is Digital crypto-currency use blockchain Technology for
If questions remain about which regulator—the SEC or the CFTC—will take the lead on oversight of digital assets, a new report from the CFTC lays ...
Employee giving folder to his manager during interview
A divided Commission voted Oct. 2 to amend portfolio thresholds and to make other proposed changes that would require CPOs/CTAs to disclose risks, conflicts, their ...
Like the SEC, the CFTC has now imposed over $1 billion in penalties for charges tied to offline communications violations
Businessman packaging and holding brown cardboard box with documents and personal office supplies because fired from work.
It’s unusual for the CFTC to revoke a large firm’s registration, especially for violations of regulatory laws overseen by another regulator
Bitcoin
"By now you’d think the NFA would have had a rule in place that prohibits fraud around the use of Bitcoin and Ether. But it ...
Sunlight
The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...
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