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511 results found

Article

Greenberg Traurig LLP | USA | 11 Mar 2019

CFTC and NFA Commodities Regulatory Update

Departing from its historical practice but following the approach taken by the SEC and FINRA, the Commodity Futures Trading Commission (CFTC) on Feb

Article

Sidley Austin LLP | USA | 13 Feb 2019

NFA Creates New Internal Controls Requirements for CPO Members

Effective April 1, 2019, National Futures Association (NFA) members that are commodity pool operators (CPOs) will be required to implement internal

Article

Katten Muchin Rosenman LLP | USA | 3 Feb 2019

New NFA CPO Internal Control Requirements Effective April 1

The National Futures Association's recently proposed interpretive guidance to provide commodity pool operators with guidance to design and implement

Article

Katten Muchin Rosenman LLP | USA | 1 Feb 2019

NFA Adopts Interpretive Notice Regarding CPO Internal Controls Systems

On December 10, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission a proposed Interpretive Notice to NFA

Article

Fried Frank Harris Shriver & Jacobson LLP | USA | 31 Jan 2019

Reminder: CPO and CTA Annual Affirmation Requirement

The Commodity Futures Trading Commission ("CFTC") requires any person that claims an exemption from commodity pool operator ("CPO") registration

Article

Katten Muchin Rosenman LLP | USA | 20 Jan 2019

NFA to Members: Be Careful Dealing With Exempt CTAs and CPOs During First Quarter 2019

The National Futures Association issued its annual reminder that members dealing with lawfully exempt-from-registration commodity trading advisors

Article

Thompson Hine LLP | USA | 20 Dec 2018

NFA Proposes Amendments to 2016 Cybersecurity Guidance

On December 5, 2018, the National Futures Association (NFA) announced proposed amendments to its 2016 cybersecurity program guidance (2016 Guidance)

Article

Katten Muchin Rosenman LLP | USA | 16 Dec 2018

NFA Proposes Internal Controls Framework to Enhance Supervision

The National Futures Association proposed an interpretive notice to provide commodity pool operators with guidance to design and implement adequate

Article

Katten Muchin Rosenman LLP | USA | 14 Dec 2018

NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems

On December 10, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission a proposed Interpretive Notice to NFA

Article

Katten Muchin Rosenman LLP | USA | 9 Dec 2018

Exempt CTAs and CPOs Reminded of Annual Affirmation Obligation by NFA

The National Futures Association reminded persons operating pursuant to an exemption from commodity pool operator or commodity trading advisor

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