Articles

Results 1 to 2 of 2


NFA Provides Relief to Permit CTAs to Present Gross Past Performance to ECPs; CFTC Proposes Updates to Form CPO-PQR

USA - May 11 2020 In April, the National Futures Association (NFA) provided relief to permit commodity trading advisors (CTAs) who are also registered as investment…

Christopher M Wells

OCIE Publishes Cybersecurity and Resiliency Observations

USA - February 6 2020 On January 27, 2020, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") published its…

Robert G Leonard, Michael F Mavrides, Christopher M Wells