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Open Categories Menu Bart Mallon Speaking at Chicago CTA Expo This year’s Chicago CTA Expo will again be held the same week as the FIA Expo and it will be a day after the NIBA Sales and Marketing Conference. Bart Mallon of Mallon P.C. will be a speaker at the event. The full [...]
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Posts Tagged ‘ cta expo 2010 ’
2 November
CTA Regulatory and Compliance Discussion
By Bart Mallon, Esq. (www.colefrieman.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 [...]
15 October
CTA and CPO Registration and Compliance Guide
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 [...]
