November 20, 2009
CFTC Regulation 4.22 Overview
CFTC registered commodity pool operators have a number of regulatory and compliance issues to be aware of. In addition to a having a compliance program which addresses the business and regulatory issues applicable to the manager, one of the more important compliance requirements is found in CFTC Regulation 4.22 which provides the [...]
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July 22, 2009
Hedge Fund Managers and the Series 3 Exam
Those managers who engage in commodities and futures trading (and who don’t qualify for an exemptions) will need to register as commodity pool operators with the CFTC and become members of the NFA. In order to do this all owners and “associated persons” of the manager/CPO will need [...]
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