CPOs/CTAs

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications from claiming a CPO registration exemption

By
Carl Ayers
-

To read this article, you need to sign in.

Sign In

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.

Register Now