The Commodity Futures Trading Commission and the National Futures Association in recent weeks have issued relief in response to the challenges that many market participants face in light of the coronavirus (COVID-19)...more
The National Futures Association (NFA) recently proposed an interpretive notice that would require members that are commodity pool operators (CPOs) to adopt and implement internal controls systems designed to deter fraudulent...more
January 2017 -
The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives markets. This focus has coincided with the advent of new and...more
1/5/2017
/ Block Trades ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Confidential Information ,
EFRP ,
Illegal Tipping ,
Insider Trading ,
NFA ,
Personal Benefit ,
Private Equity Firms ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Swap Execution Facilities ,
Tippees ,
Tippers ,
UK ,
US v Newman ,
US v Salman
The National Futures Association’s (NFA’s) latest proposal would require registered commodity pool operators and commodity trading advisors to provide new information about their financial condition in quarterly reports to...more
Firms must affirm their exemption or exclusion from CPO or CTA registration on the National Futures Association’s Exemption Filing System by February 29....more