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The changes harmonize the CFTC’s rules with the SEC’s
The questions concerning the CFTC’s Forms CPO-PQR and CTA-PR number in the many. The agency’s Division of Swap Dealer and Intermediary Oversight Nov. 5 published ...
“The industry looks to these types of resolutions in structuring their own compliance” programs
A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...
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
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
Foreign travel figured into the NFA’s year
Ironically, the government will get a big chunk of the cash back because whistleblower awards are taxable

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