Commodity Futures Trading Commission (CFTC)

Regulators have a choice in this regard. I believe we can either follow a regulatory path that burdens the industry with multiple onerous regulatory frameworks ...

You request, on behalf of “A”, relief from the requirement in Commission regulation 4.22(d) to have an independent public accountant audit the financial statements in ...

The Commodity Futures Trading Commission is amending existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are ...

In another move to nourish “the principles of international comity,” the CFTC March 28 approved a final rule permitting foreign commodity sales agents from having ...

The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from Regulations 4.7(b)(3) and 4.22(d), which require the ...

The relief granted in this letter is conditioned on the CPO’s distribution to the Pool participant, and filing with NFA, an Annual Report containing combined ...

The relief granted in this letter is conditioned on the CPO’s distribution to Pool participants, and filing with NFA, an Annual Report for the fiscal ...

The participant has agreed in writing to waive the right to receive separate audited financial statements for the Pool for the 2015 fiscal year and ...

Thomas, Managing Director of Marbury, fraudulently deceived at least two customers, including Thomas’ father-in-law, to give Thomas and Marbury over $1.2 million for the ostensible ...

The CPO of an exempt commodity pool requested relief from the audit requirement in Regulation 4.22(d)(1), on the basis that the pool’s two participants are ...