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CPOs/CTAs

The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
After seven years, the CFTC is changing Form CPO-PQR because it doesn't use all of the data the form requires CPOs to submit
One new rule means a CFTC-registered CPO could opt for non-registration for one of its pools. But this CPO couldn’t be in the U.S. and ...
This final rule permits a non-U.S. CPO to avoid CFTC registration, including basing the exemption on "a pool-by-pool basis" and laying out a safe harbor ...
One director compared the existing Form CPO-PQR with “a Jackson Pollock painting” that badly needed updating
This is the newly revised Form CPO-PQR approved by the CFTC
In one case, a CTA has operated for 20 years without allegedly joining the NFA
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 ...
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
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