We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 12
Most popular |Most recent


National Futures Association Creates New Disclosure Requirements for Members Engaging in Virtual Currency Activities

USA - August 23 2018 Effective Oct. 31, National Futures Association (NFA) members engaging in virtual currency activities will be subject to new NFA disclosure...

Geoffrey F. Aronow, James C. Munsell, Michael S. Sackheim, Nathan A. Howell.


2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

USA - February 28 2018 Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the...

Laurin Blumenthal Kleiman, Jonathan B. Miller, David A. Form, Nathan A. Howell, Mark D. Whatley.


Proper Supervision by CPOs: Are You Performing Daily Reconciliation on Cash Accounts?

USA - October 3 2017 Daily reconciliation may be fairly common for fund managers in relation to trading accounts, but may not always be the standard for cash accounts...

Michele Ilene Ruiz, Michael S. Sackheim, Nathan A. Howell.


CFTC Approves Amendments to Recordkeeping Rules

USA - June 15 2017 On May 23, 2017, the Commodity Futures Trading Commission (CFTC) unanimously approved proposed amendments to the recordkeeping obligations set forth...

Geoffrey F. Aronow, Andrew E. Nelson, Michele Ilene Ruiz, Michael S. Sackheim, Nathan A. Howell.


CFTC Approves Amendments to Recordkeeping Rules

USA - June 12 2017 On May 23, 2017, the Commodity Futures Trading Commission (CFTC) unanimously approved proposed amendments to the recordkeeping obligations set forth...

Andrew E. Nelson, Michele Ilene Ruiz, Michael S. Sackheim, Nathan A. Howell.