January 20, 2010
Translating a Disclosure Document to Another Language is Fine
NFA Member Firms are required to have their disclosure documents reviewed by the NFA generally before such firms can distribute the documents to potential investors. One issue which sometimes arises is when the firm (generally either a CTA or CPO) has potential clients/investors who are non-U.S. citizens [...]
Read the full article →
November 2, 2009
By Bart Mallon, Esq. (www.mallonpc.com)
“Compliance in a Changing Environment”
As we are all well aware both the investing and the regulatory environments have experienced a dramatic refocusing on compliance and related issues in the wake of the 2008 meltdown and the Bernie Madoff affair. This overview is for the CTA Expo 2009 program entitled Compliance in [...]
Read the full article →
CPOs and CTAs Now Submit Disclosure Documents Electronically
April 7, 2009NFAs Electronic Filing System Went Live Yesterday
The NFAs new electronic filing system for CPO and CTA disclosure documents went live yesterday. All NFA members are required to use the electronic system for filing their disclosure documents. While I have not yet used the new system, it is expected to be a big improvement over the [...]