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CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for CPOs and CTAs

USA - January 9 2020 At an open meeting held on November 25, 2019, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) adopted two sets of final…

John M. Baker, Nicole Simon, Peter M. Hong, Stephen LaChine.

National Futures Association Takes Step Toward Developing Proficiency Requirements for Swap APs

USA - June 6 2018 On June 5, the National Futures Association (NFA) announced that it will begin developing a proficiency requirement program to be launched in early…

Nicole Simon, Peter M. Hong.

CFTC enforcement action against energy company acting as unregistered CTA — words to the wise for investment advisers relying on CTA exemptions

USA - March 20 2015 A recent enforcement action by the Commodity Futures Trading Commission (CFTC) serves as a reminder of the importance the CFTC places on registration…

Gregory D. DiMeglio, Jeffrey E. McFadden, Peter M. Hong, Shanna B. Bayer.