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Open Categories Menu “Lite-Touch” Regulatory Approach for Certain CFTC Registrants In general, CFTC registered CPOs and CTAs must adhere to certain disclosure and reporting requirements as specified in the Commodity Exchange Act (“CEA”) and regulations thereunder. However, some CFTC registered firms can operate under a “lite-touch” regulatory regime if the firm only provides [...]
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Posts Tagged ‘ commodity exchange act ’
15 January
Eligible Contract Participant (ECP) Definition
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 [...]
