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Open Categories Menu Futures Magazine Publishes Article on Social Media by Bart Mallon In this month’s issue of Futures Magazine I wrote a featured article about the legal and regulatory issues that managers in the futures industry face with respect to the use of social media. The article, Social Media Considerations for Financial Firms, [...]
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Posts Tagged ‘ nfa regulations ’
12 May
Posted in
Commodities and Futures, compliance
Disclosure Document Guidance for CTAs and CPOs
NFA Provides Overview of Manager Background (Bio) Disclosure Requirements CFTC registered CTAs and CPOs need to have their disclosure documents reviewed by the NFA prior to using those documents to solicit clients or investors. As any manager who has gone through this NFA review process understands, the NFA will take [...]
2 November
CTA Regulatory and Compliance Discussion
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 [...]
