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Open Categories Menu 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 [...]
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Posts Tagged ‘ hedge fund cpo ’
20 November
Posted in
cftc, Commodities and Futures, compliance, CPO, Investment Advisor, Laws, Legal Resources, Regulatory Actions
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CPO Reporting Requirements | Commodity Pool Operator Compliance
22 July
Series 3 Exam | Commodities & Futures Exam Topics
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 [...]
