CPOs/CTAs

CFTC Revokes Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Courtâ's Permanent Injunction Order Prohibiting Them from Committing Further Fraud and ...

A new no-action letter from the CFTC grants blanket relief from registration to CPOs that delegate their investment management authority to another CPO that is ...

Conditions are set to qualify from the registration relief for delegating CPOs but the relief no longer requires the entity to notify the CFTC.

The host of violations included misrepresenting the reasons why the defendants could not honor customer withdrawal requests.

CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors.

The CFTC alleges a Ponzi scheme, with the defendants fraudulently soliciting more than $8.3 million from at least 40 investors for pooling and trading in ...

This action strips SAC of its registrations as a Commodity Trading Advisor (CTA) and Commodity Pool Operator (CPO).

CFTC alleges that Galemmo solicited at least $116 million from pool participants and only deposited approximately $4.7 million of the funds into futures accounts.

No-action letter permitting, subject to certain conditions, commodity pool operators of certain commodity pools that are non-registered investment companies ("Parent Pools") that use wholly-owned trading ...