Apparently bowing to industry pressure, the CFTC last week announced that it will soon propose a new rule that will exclude commodity trading advisors from ...
A new no-action letter from the CFTC grants blanket relief from registration to CPOs that delegate their investment management authority to another CPO that is ...
It can bewilder compliance officers to ensure their firm complies with multiple rules. Extrapolate that challenge ten-fold should the many rules come from more than ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Address concerns expressed by your regulator posthaste. That universal compliance maxim was driven home by last week's fine levied against J.P. Morgan Securities. The lesson ...
Last week the CFTC released a new no-action letter that sets out a "streamlined approach" for commodity pool operators to gain a waiver from registration ...
Last month, we alerted you that the CFTC may extend the deadline for the recording of futures transactions by certain entities, including commodity trading advisers ...
You have to go back more than one year to when we first told you about a new CFTCrule that would require commodity trading advisers ...
The only better news advisers harmed by the failure of MF Global could get than that they and their clients will be made whole is ...
Last week, the CFTC announced that its legal action against the remnants of MF Global has reached the stage where the bankruptcy trustee will "begin ...