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 [...]
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October 15, 2009
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 will be continually updating [...]
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