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 [...]

[http://www.hedgefundlawblog.com] No New Information on Forex Regulations I have been getting more and more questions regarding forex registration and unfortunately I have not had much to say because there has been little information coming from the CFTC.  The NFA has done a good job of anticipating what those rules will [...]

Information on Requesting and Submitting NFA Fingerprint Cards Those persons who are registering with the CFTC in any capacity (Associated Person of a CPO, CTA, IB) will need to submit fingerprint cards to the NFA prior to their registration being effective. It is also likely that the new forex registration [...]

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 [...]

Many forex managers use a product called a managed forex fund, which is the equivalent to a mutual fund hedge fund.  In a “managed forex fund,” the manager will invest the assets under the POA with the forex dealer member in the managed fund.  The a trader or traders for [...]

Two new releases indicate that the NFA is serious about regulating the off-exchange foreign currency markets On our sister website, www.forexlawblog.com, we have detailed the continued regulatory actions by the NFA with regard to the current regulation of the off-exchange forex markets.  The two notices, described in further detail below, [...]

As we announced earlier, the NFA promulgated rules which were approved by the CFTC which gave the NFA jurisdiction over retail off-exchange foreign exchange trading by its member firms.  What this essentially means is that if: (i) you are currently a NFA member (e.g. you have a commodity/ futures pool [...]

As we have mentioned before the CFTC and the NFA have not released the information regarding the forex registration requirements, but in the interest of preparing forex managers for the coming registration, we are providing an overview of the likely requirements and the process to become a fully compliant Forex [...]

(www.hedgefundlawblog.com) Article by Bart Mallon (www.forexregistration.com) This is part one of a two part discussion.  This article will provide an overview of the likely requirements for Forex Disclosure Documents.  The items in this Forex Disclosure Document Overview are based on the items discussed in “Disclosure Documents – A Guide for [...]