Home CPOs/CTAs


The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
The CFTC understands "that the COVID-19 pandemic may present challenges in timely meeting certain of their obligations"
The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules
Taking this action will stop future NFA notices alerting you to file Form PR
The SRO provides two steps to check on registration/exemption status
Gain greater insight into how to do your break-even analysis for the NFA
You're directed to report “if your cloud service providers have been affected by this attack"
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
The changes harmonize the CFTC’s rules with the SEC’s
CPO barred for misbehavior
RELEASE Number 8052-19 October 15, 2019   Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The ...
Promised pool participants 8%-20% returns, lost $1.4 million
Marconato made false statements to the NFA by denying the existence of his commodity pool
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The ...
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a ...
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...
RELEASE Number 7973-19 July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise ...

Copyright PEI Media

Not for publication, email or dissemination