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CFTC Cyber Incident Information Request Private Fund Manager Responses Required

USA - January 9 2020 On Jan. 3, 2020, the National Futures Association distributed a Cyber Threat Alert from the U.S. Commodity Futures Trading Commission to registered...

Edward H. Sadtler, Kelly Koscuiszka, Brian T. Daly.

CFTC Amendments to Registration and Compliance Rules Lessons for Private Fund Managers

USA - December 17 2019 On Nov. 25, 2019, the Commodity Futures Trading Commission approved amendments1 that impact several registration and reporting exemptions, which...

Brian T. Daly.

CFTC 2020 Examination Initiative - Guidance for Private Fund Managers

USA - November 8 2019 On Oct. 30, 2019, Joshua B. Sterling, the Director of the U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary...

Brian T. Daly.

Swaps Proficiency Administration Webinars (and Surcharge) Announced by NFA

USA - October 18 2019 As we have previously discussed,1 "associated persons" of National Futures Association members that engage in swaps-related activities will be...

Brian T. Daly.

NFA Updates FAQs on Swaps Proficiency Requirements

USA - September 20 2019 On Sept. 12, 2019, the National Futures Association updated its Frequently Asked Questions on the upcoming new swaps proficiency requirements for...

Brian T. Daly.