CTA and CPO Compliance: Time to Reaffirm Exemptions

Any person that claims exemption from CPO registration with NFA under the following CFTC Regs: 4.13(a)(5) 4.13(a)(2) 4.13(a)(3) 4.13(a)(5) 4.5 or CTA Registration 4.14(a)(8) must reaffirm the exemption at least 60 days before calendar year end, March 1, 2022. Failure…

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CTA and CPO Common Deficiencies

Below are a few regulatory obligations related to common deficiencies as noted during NFA audits of Commodity Pools and Commodity Trading Advisors.  Cybersecurity.  Commodity Pools and Commodity Trading Advisors must adopt a written Information Systems Security Program (ISSP) to address…

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