A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...
The NFA recognizes some situations may technically require notice when it’s really not necessary, such as when a CPO “reasonably expects to meet the margin ...
“Climate change poses a major threat to U.S. financial stability, and I believe we must move urgently and assertively in utilizing our wide-ranging and flexible ...
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
To understand something, you first have to define it. The CFTC’s task at hand in releasing its new 36-page Digital Assets Primer encounters that challenge ...
The CFTC to stress that it “expects a compliance function to serve as a meaningful check: to ensure proper systems are in place to detect ...
The year in enforcement resulted in more than $14 million being returned to 700 harmed investors and the collection of $2.7 million in fines
One new rule means a CFTC-registered CPO could opt for non-registration for one of its pools. But this CPO couldn’t be in the U.S. and ...
One director compared the existing Form CPO-PQR with “a Jackson Pollock painting” that badly needed updating