NFA

Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...

James D. Crombie (Crombie) permanently banning him from trading on CFTC-regulated markets for his own personal account and from having such trades made on his ...

You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...

Bretas de Freitas and PCI fraudulently solicited at least $7.8 million from various victims for the defendants’ commodity pools or managed futures funds (“Funds”). ...

Swaps and counterparties incorporated into compliance rules

The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm ...

CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...

Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first ...

Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO internal ...

2021 seems like a long time away but it can be on you faster than you think. The NFA’s reminding firms that its amended rule ...