On February 25, 2025, the U.S. Commodity Futures Trading Commission (CFTC) released an enforcement advisory regarding the impact of self-reporting, cooperation and remediation in enforcement cases (the “Enforcement...more
On December 5, 2024, the Staff of every market-facing division of the U.S. Commodity Futures Trading Commission (CFTC) issued a joint “Staff Advisory” on the use of artificial intelligence in CFTC-regulated markets and...more
• The NFA has determined that registered CPOs must implement an internal controls system and highlighted best practices for such a framework.
• In response to certain frequently asked questions, the NFA has also updated its...more
1/15/2019
/ Best Practices ,
Books & Records ,
CFTC ,
Commodity Pool ,
Consumer Fraud ,
CPOs ,
Cyber Attacks ,
Cyber Incident Reporting ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Employee Monitoring ,
Employee Training ,
Financial Services Industry ,
Guidance Update ,
Information Security ,
Information Systems Security Program (ISSP) ,
Internal Controls ,
Investment Management ,
NFA ,
Notification Requirements ,
Policies and Procedures ,
Popular ,
Recordkeeping Requirements ,
Risk Assessment
• CPOs and CTAs of offshore commodity pools, family offices and business development companies would be exempt from registering with the CFTC.
• Certain registered CPOs and CTAs would not be required to file Form CPO-PQR...more
10/17/2018
/ Business Development Companies ,
CFTC ,
Commodity Exchange Act (CEA) ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPO ,
Exemptions ,
Family Offices ,
Recordkeeping Requirements ,
Registration Requirement ,
Reporting Requirements
If you read one thing...
- Proposed Regulation AT sets out minimum pre-trade safeguards and internal policy requirements on all “AT Persons,” which would generally include persons using algorithmic systems for generating...more
On August 13, 2013, the Commodity Futures Trading Commission (CFTC) adopted amendments to certain provisions of Part 4 of the CFTC regulations that are applicable to all commodity pool operators (CPOs) and commodity trading...more
8/21/2013
/ CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPO ,
Disclosure Requirements ,
Distribution Rules ,
Documentation ,
Investment Company Act of 1940 ,
Recordkeeping Requirements ,
RICs ,
Securities and Exchange Commission (SEC)