CPOs/CTAs

Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the ...

Exemptive relief granted to a CPO of a pool from the audit requirement of Commission regulation 4.22(d) with respect to the pool’s 2015 annual report. ...

The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is amending Commission Regulation 1.35(a) to: Provide that all records required to be maintained under this regulation ...

Today’s final rule clarifies that members of exchanges and swap execution facilities not registered with the Commission—typically, end-users—do not have to keep pre-trade communications or ...

I believe the final Rule 1.35 generally gets the balance right. Yet, I must give a plain and simple warning: The elimination of unnecessary recordkeeping ...

The National Futures Association has announced the new annual deadline for commodity pool operators and commodity trading advisors that believe they continue to be exempt ...

Commodity trading advisors need not worry any longer about that CFTC rule requiring them to record oral communications around swaps transactions. The Commission this week ...

Extension of relief provided in CFTC Staff Letter No. 14-147, which relieves CTAs from the requirement to record oral communications under Regulation 1.35(a) and relief ...

According to the CFTC’s Order, Ovsepyan was the sole owner and operator of Sharpe and Haeres, which provided trading advisory services to managed accounts in ...

The CFTC’s Complaint alleges that, between at least June 2014 and the present, Bryant has fraudulently solicited and accepted at least $3 million from pool ...