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CPO/CTA Latest News

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
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