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
“When the global benchmark contract for oil fluctuates in $50 swings two days in a row, something is broken—very broken”
The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR
The current turbulence in the markets will eventually subside
The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
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