http://www.hedgefundlawblog.com/retail-forex-registration-regulations-proposed.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 http://www.hedgefundlawblog.com/retail-forex-registration-regulations-proposed.html/comment-page-1#comment-4434 NFA CPO/CTA Regulatory Seminar Recap — Hedge Fund Law Blog Sat, 20 Mar 2010 23:54:34 +0000 http://www.hedgefundlawblog.com/?p=3038#comment-4434 [...] Not a lot, but the session did give the NFA a chance to frame some of the issues for the day and show that the mandate of the CFTC and NFA is broad.  Surprisingly, the panel did not even mention one of the major proposed regulations which would affect a large number of CPOs/CTAs (and bring many more firms under the CFTC’s jurisdiction) - that issue was the proposed retail forex regulations. [...] [...] Not a lot, but the session did give the NFA a chance to frame some of the issues for the day and show that the mandate of the CFTC and NFA is broad.  Surprisingly, the panel did not even mention one of the major proposed regulations which would affect a large number of CPOs/CTAs (and bring many more firms under the CFTC’s jurisdiction) – that issue was the proposed retail forex regulations. [...]

]]> http://www.hedgefundlawblog.com/retail-forex-registration-regulations-proposed.html/comment-page-1#comment-4224 New Forex Regulations: Overview of Public Comments — Hedge Fund Law Blog Tue, 23 Feb 2010 08:48:54 +0000 http://www.hedgefundlawblog.com/?p=3038#comment-4224 [...] in related posts, the CFTC has proposed rules regulating the off-exchange spot forex industry (see Retail FOREX Registration Regulations Proposed).  The CFTC has request comments from the public and there are currently about 100 public [...] [...] in related posts, the CFTC has proposed rules regulating the off-exchange spot forex industry (see Retail FOREX Registration Regulations Proposed).  The CFTC has request comments from the public and there are currently about 100 public [...]

]]> http://www.hedgefundlawblog.com/retail-forex-registration-regulations-proposed.html/comment-page-1#comment-4003 Eligible Contract Participant (ECP) Definition — Hedge Fund Law Blog Fri, 15 Jan 2010 05:15:58 +0000 http://www.hedgefundlawblog.com/?p=3038#comment-4003 [...] The term “eligible contract participant” is important with regard to managers who provide advice on futures and commodities investments (including off-exchange spot foreign currency or “forex”).  In general there are exemptions from various CTA, CPO and IB registration provisions for those managers who only provide advisory services to those clients who fall within the definition of eligible contract participant (ECP).  The definition is also important for those managers who may be subject to the proposed CFTC forex registration regulations. [...] [...] The term “eligible contract participant” is important with regard to managers who provide advice on futures and commodities investments (including off-exchange spot foreign currency or “forex”).  In general there are exemptions from various CTA, CPO and IB registration provisions for those managers who only provide advisory services to those clients who fall within the definition of eligible contract participant (ECP).  The definition is also important for those managers who may be subject to the proposed CFTC forex registration regulations. [...]

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