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Open Categories Menu 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 [...]
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Posts Tagged ‘ cpo rules ’
20 November
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cftc, Commodities and Futures, compliance, CPO, Investment Advisor, Laws, Legal Resources, Regulatory Actions
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CPO Reporting Requirements | Commodity Pool Operator Compliance
20 August
Commodity Pool Operators Scrambling After Surprise CFTC Decision
CFTC Withdraws Two No-Action Letters In a surprise move the CFTC has withdrawn two no-action letters which is had just recently issued.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 [...]
