November 20, 2009
CFTC Regulation 4.22 Overview
CFTC registered commodity pool operators have a number of regulatory and compliance issues to be aware of. In addition to a having a compliance program which addresses the business and regulatory issues applicable to the manager, one of the more important compliance requirements is found in CFTC Regulation 4.22 which provides the [...]
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August 20, 2009
CFTC Withdraws Two No-Action Letters
In a surprise move the CFTC has withdrawn two no-action letters which is had just recently issued. Under the new Chairman Gary Gensler, the CFTC has made an about face on this issue with regard to two commodity pool operators who were relying on the no-action letters issued in 2006. Under [...]
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