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CFTC Staff Issues CCO Annual Report Advisory and Related No-Action Relief

On December 22, 2014, the Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (“CFTC”) issued an Advisory providing guidance regarding the contents of chief compliance...more

CFTC Staff Grants Family Offices No-Action Relief from Registration as Commodity Trading Advisors

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued no-action relief for failure to register with the CFTC as a commodity trading advisor (CTA) to any...more

12/18/2014  /  CFTC , CPOs , DSIO , Family Offices , No-Action Relief
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