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 [...]

Futures Magazine Looks to Profile “Hot New CTAs” Futures magazine is looking to profile new CTAs for their annual feature entitled “Hot New CTAs.”  The requirements for potential inclusion in the survey include: have managed customer funds for at least one year as of the end of August have less [...]

By Bart Mallon, Esq. (www.colefrieman.com) “Purchased Lead Lists and How to Use Them” A good resource for CTAs that are actively trying to raise money are lead lists – lists of names and contact information of potential future clients or investors.  This overview is for the CTA Expo 2009 program [...]

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 [...]

By Bart Mallon, Esq. (www.colefrieman.com) Marketing for Small CTAs For small commodity trading advisory (CTA) firms, marketing and advertising the expertise of the principals is a central way to gain new clients and make more money.  This overview is for the CTA Expo 2009 program entitled Marketing for Small CTAs. [...]

Commodity Trading Advisor Conference Next week there will be a conference for Commodity Trading Advisors held in Chicago at the Hotel Monaco.  The conference, entitled the CTA Expo 2009, will be held on Wednesday and will feature a variety of topics of interest to CTAs.  The agenda includes: Continental Breakfast [...]

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 [...]

Commodity Firms Need to Complete Annual Regulatory Information The NFA recently released a regulatory reminder to firms which are registered as commodity pool operators and/or commodity trading advisors.  The reminder reminds CPOs and CTAs that there are certain annual regulatory items which a firm must complete in order to remain [...]