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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 ...
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they are “subject ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...
The reason that the Fund Complex has a CPO registration issue with respect to “A” is because “B” is used as a conduit for the ...
Based upon the representations made in the Correspondence, the Division will not recommend that the Commission commence any enforcement action against “A” for failure to ...
Although “D” and “A” are not under common control, and neither “D” nor “A” controls the other, they will remain jointly and severally liable for ...
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first ...
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO internal ...
the court found that the defendants fraudulently solicited and accepted funds from customers for the purported purpose of trading forex. Further, the court found ...
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