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NFA Publishes Information For CTAs Using Third-Party Recordkeeping

USA - July 7 2017 On June 30, the National Futures Association (NFA) published Notice to Members I-17-11, establishing an electronic process for a registered commodity...

Laura N. Krcmaric.


Compliance With the ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers: Beginning June 9, 2017

USA - June 6 2017 The DOL's "fiduciary advice rule" (the "Rule") will take effect on June 9, 2017. The DOL has published FAQs on the implementation of...

Gabriel S. Marinaro, Richard D. Marshall, Gary W. Howell, Phillip S. Koh, Robert A. Stone, David Y. Dickstein, Jack P. Governale, Henry Bregstein, Lance A. Zinman, Robert Weiss, Wendy E. Cohen, Allison C. Yacker.


CFTC Issues Order of Registration Permitting Eurex Zurich AG to Engage in Direct Access Trading From the United States

USA - June 2 2017 On May 30, the Commodity Futures Trading Commission (CFTC) issued an Order of Registration (Order) permitting Eurex Zurich AG (Eurex Zurich), a...

Stanley V. Polit.


CFTC Issues Guidance on the Calculation of Projected Operating Costs by DCMs and SEFs

USA - May 5 2017 On April 28, the Commodity Futures Trading Commission issued guidance on the calculation by designated contract markets (DCMs) and swap execution...

Timothy D. Kertland.


CFTC Proposes Amendments to Certain Rules Governing CCO Duties and Annual Reports

USA - May 5 2017 On May 3, the Commodity Futures Trading Commission announced proposed rules amending its regulations regarding certain duties of chief compliance...

Timothy D. Kertland.