Christian Hennion

Christian Hennion

Katten Muchin Rosenman LLP

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NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs

The National Futures Association (NFA) has updated its Background Affiliation Status Information Center (BASIC) system to help NFA members conducting Bylaw 1101 due diligence to determine whether the commodity pool operator...more

4/15/2015 - "Bylaw 1101) CPOs DSIO Due Diligence National Futures Association Registration Requirement

Corporate & Financial Weekly Digest - Volume X, Issue 14

In This Issue: - NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs - Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case - SEC Secures Victory on Fraud Allegations...more

4/13/2015 - C-Suite Executives CPOs Delegated CPOs Enforcement Actions Illegal Tipping Insider Trading Material Misstatements National Futures Association Rule 10(b) SEC US v Newman

NFA Modifies EasyFile for Pool Annual Financial Statements

On February 10, National Futures Association (NFA) issued a notice to members describing minor changes to its EasyFile system for annual pool financial statement filings submitted by commodity pool operators (CPOs)...more

2/18/2015 - CPOs Electronic Filing Financial Statements NFA

CFTC Extends Relief From Certain OCR Requirements

The Division of Market Oversight of the Commodity Futures Trading Commission has extended no-action relief from certain of the CFTC’s ownership and control reporting (OCR) regulations, including electronic reporting via new...more

2/18/2015

Corporate and Financial Weekly Digest - Volume X, Issue 6

In this issue: - SEC Publishes Rules for Reporting Security-Based Swaps - SEC Proposes Rules for Disclosure of Companies’ Hedging Policies - CFTC Extends Relief From Certain OCR Requirements - NFA...more

2/17/2015 - Arbitration Banking Sector Banks Bribery Brokered Deposits Capital Requirements CFTC Clawbacks FDIC Haiti Hedging NFA OCC SEC Security-Based Swaps Subordination

CFTC Provides Additional Relief to Certain Delegating CPOs

In response to industry comment, on October 15 the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) provided further relief from commodity pool operator (CPO) registration to a...more

10/22/2014 - CFTC Commodities Commodity Pool CPOs DSIO

Corporate and Financial Weekly Digest - Volume IX, Issue 41

In this issue: - ISS Releases 2015 Draft Voting Policy Changes for Comment - SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition - FINRA Proposes to...more

10/20/2014 - Accredited Investors CFTC Disclosure Requirements EU European Commission FINRA ISS Prudential Regulation Authority Rulemaking Process SEC

NFA Issues Notice Regarding CPO and CTA Reports and Filing Requirements

On October 1, National Futures Association issued Notice to Members I-14-26 informing commodity pool operators (CPOs) of changes to Form PQR and to remind member CPOs and commodity trading advisors (CTAs) to file required...more

10/7/2014 - CPOs CTA National Futures Association Reporting Requirements

Corporate and Financial Weekly Digest - Volume IX, Issue 39

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

10/6/2014 - AIFMD CPOs CTA DCMs Derivatives Enforcement Enforcement Actions ESMA EU FINRA Fraud ISS MiFID NFA Risk Assessment Risk Management SEC Securities Fraud SEFs

CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9,...more

9/16/2014 - CFTC CPO Disclosure Requirements DSIO General Solicitation JOBS Act Private Offerings Regulation D Reporting Requirements Rule 506(c) SEC

Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are superseded and should be discarded. Please note the following developments...more

4/16/2014 - CFTC Economic Development Foreign Exchanges Futures Stocks

CFTC Grants Relief to CPOs Trading Through Subsidiaries

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief from certain reporting obligations to commodity pool operators (CPOs) of registered investment...more

9/17/2013 - CFTC Controlled Foreign Corporations CPO DSIO Investment Funds No-Action Relief Subsidiaries

CFTC Issues Concept Release on Automated Trading

The Commodity Futures Trading Commission has issued a concept release on risk controls and system safeguards for automated trading environments. The release provides an overview of recent market events and existing industry...more

9/17/2013 - Algorithmic Trading CFTC Proposed Legislation

NFA Amends CPO and CTA Quarterly Reporting Requirements

On April 24, the National Futures Association (NFA) issued a notice to members regarding amendments to NFA Compliance Rule 2-46. The amended rule modifies the NFA’s quarterly pool reporting requirements and extends related...more

4/30/2013 - Amended Regulation CFTC CPO CTA NFA Reporting Requirements

NFA Proposes Amendment Permitting Certain Loans by Commodity Pools to Related Entities

On March 4, the National Futures Association (NFA) issued a proposed rule change and interpretive notice that would allow commodity pools to provide certain loans to related commodity pool operators (CPOs) and other...more

3/13/2013 - Commodity Pool CPO NFA

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