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Open Categories Menu Practical guidance for CTA and CPO firms Commodity Trading Advisors (CTAs) and Commodity Pool Operators (CPOs) have been contacting me with greater regularity and we have decided to provide those firms with more detailed information on their registration and compliance requirements. Over the course of the next few weeks we [...]
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Posts Tagged ‘ cpo compliance ’
29 May
NFA Cracks Down on CPO Fraud with New Compliance Rule
Proposes Amendments to Compliance Rule 2-45 The National Futures Association (NFA) proposed new amendments to Compliance Rule 2-45 regarding prohibition of loans by pools to commodity pool operators and related parties. The amendment states that no Member CPO may permit a commodity pool to use any means to make a [...]
20 January
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Legal Resources
Annual Reminder for CPOs and CTAs
Commodity Firms Need to Complete Annual Regulatory Information The NFA recently released a regulatory reminder to firms which are registered as commodity pool operators and/or commodity trading advisors. The reminder reminds CPOs and CTAs that there are certain annual regulatory items which a firm must complete in order to remain [...]
