CPOs/CTAs

A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other ...

With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have ...

Time ran out in our recent webinar on CFTC registration before we could answer all the questions received (IA Watch, Aug. 20, 2012), so we're ...

We promised they were coming and last week the CFTC complied (IA Watch, Aug. 13, 2012). It released frequently asked questions with answers designed to ...

The National Futures Association is being asked to waive the registration requirement to pass a securities exam for those associated persons who are involved in ...

This is a list of frequently asked questions released by the CFTC in August 2012 to help advisers decide whether they must register as commodity ...

One of the biggest questions emanating from the CFTC's elimination of a key exemption under its CPO and CTA rules relates to whether fund of ...

Within days of defining swaps, the CFTC on July responded to a request from four industry groups with a no-action letter granting one of their ...

Along with sunscreen and vacations, your summer may well include determining whether your firm is bound for registration as a commodity pool operator (CPO) or ...

The prospect of living under two regulators may be as welcoming as a police officer's flashing lights in your rear view mirror. But know that ...