Commodity Futures Trading Commission (CFTC)

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 ...

Swap dealers must file daily large trader reports with the CFTC. Not doing so can be costly.   JP Morgan Ventures Energy Corp. and JP ...

The Hearing Panel found that Mozhayski accepted investment funds from a customer although she was not registered to do so, provided false customer statements indicating ...

The long arm of the law can reach back through time. Violations that occurred during the height of the financial crisis resulted in a CFTC ...

The BCC found that Accusigma and Park failed to cooperate with NFA.

The Order finds that during the period from at least March 1, 2013 through April 30, 2014, the Respondents filed LTRs that routinely contained errors. ...

You request on behalf of “A”, the commodity pool operator (the “CPO”) for “B” (the “Onshore Feeder Fund”), “C” (the “Offshore Feeder Fund”), and “D” ...

Instead, you propose to file and distribute a report for the Pool that covers the period of time from January 1, 2015 to March 31, ...

Two months ago, the SEC fined the advisory firm Equinox Fund Management in Denver for misleading investors about fees and valuation (IA Watch, Jan. 21, ...

The CFTC has finalized its trade option rule that should be in place by April 1, negating the need for certain parties to file Form ...