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Commodity Futures Trading Commission (CFTC)
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
Foreign travel figured into the NFA’s year
The changes harmonize the CFTC’s rules with the SEC’s
The CFTC’s new report also played up its parallel criminal cases
Rule requires P&Ps to protect customer records and information
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
“The industry looks to these types of resolutions in structuring their own compliance” programs
CPO barred for misbehavior