CPO and CTA Affirmation Deadline Approaching
If you are a CTA and CPO and you currently claim an exemption under 4.13(a)(2), (a)(3), (a)(5), or exclusion from […]
SEC and FINRA: RIAs and Broker Dealer Updates
By Any Other Name: Those registered investment advisors who thought the Fiduciary Rule was dead should think again. The Department […]
CFTC Compliance Wrap Up 2018
Giving Chief Compliance Officers a Break: In August, the CFTC unanimously approved final amendments simplifying its regulations of chief compliance […]
NFA: Virtual Currency Activities Disclosure for IIBs, FCMs, CPOs,…
Virtual Currency Rules: In October, the NFA adopted an Interpretive Notice entitled Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities. […]
Be Prepared – Tax Law Impacts for 2018
The recently enacted Tax Cuts and Jobs Act (TCJA) has made several changes to the tax law. Below we have summarized […]
Michael Coglianese: Alternative Investment Accountants at Traders Expo Chicago
At Traders Expo Chicago, Michael Coglianese speaks on what traders need to know about accounting, compliance and taxes. They trade […]
National Introducing Brokers Association – Chicago Conference 2018
On September 13, 2018, NIBA will be hosting their Chicago Conference at the CME Group headquarters, 20 S. Wacker Drive. […]
Hedge Funds: SEC Amends and Updates Disclosure Requirements Easing…
In order to remove outdated, overlapping, and duplicative disclosure requirements, the SEC has adopted amendments to reduce the compliance burdens […]
New Disclosure Required for Introducing Brokers and FCMs
Due to the significant growth of the virtual currency market, the NFA has proposed an interpretive notice to the CFTC […]