CPOs/CTAs

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...

MPD will not recommend that the Commission commence an enforcement action against a Delegating CPO for failure to register as a CPO where all of ...

Consider this a Christmas gift from the Commodity Futures Trading Commission to private fund advisers registered as investment advisers with the SEC

The CFTC returns to a more than two-decade old policy that certain private fund advisers that are registered with the SEC can withdraw their CPO ...

The division will not recommend an enforcement action against any SFA Bank, an affiliate, or any other person involved in setting up or operating the ...

The SEC and CFTC agree to extend the compliance date for Form PF amendments from Oct. 2025 to Oct. 2026

The firm’s former risk officer was ordered to pay $247,000 in fines related to the case

For example, a CPO that used generative AI to update a disclosure document or prepare periodic account statements for a commodity pool would still be ...

The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes

The CFTC's agenda includes one item, and it's directed at CPOs/CTAs