New Process for Registration No-Action Relief for CPOs
Due to the rescission of Regulation 4.13(a)(4) which had provided exemption from registration to certain types of CPOs, the CFTCs […]
SEC Targeting Deficiencies in RIA Compliance Programs in 2014
With the passage of the Dodd Frank Act, the SEC has made clear the intent to focus its examinations and […]
Introducing Brokers, FCMs, Swap Firms affected by CFTC Reg.…
CFTC Regulation 1.73 affects IBs and FCMs that execute orders for customers. Therefore, IBs meeting the qualifying requirements who execute […]
CFTC Adopts Harmonizing Rule for CPOs of Registered Investment…
The CFTC recently adopted final rules concerning certain compliance obligations for CPOs of RICs under the Investment Company Act of […]
“Red Flag” Rules apply to FCMs, CTAs, CPOs, BDs,…
The SEC and CFTC have jointly adopted and must individually enforce identity theft prevention rules as a result of the […]
CTA Expo Chicago
CTA Expo will be hosting their conference in Chicago on September 19, 2013. It will be held at the UBS […]
The Traders Exchange Networking Event September 18, 2013 Chicago
Save the Date for one of the best networking opportunities in the Futures and Hedge Fund community. The Traders Exchange […]
CPO/CTA Yearly Exemption Affirmation
December 4, 2012 NFA has issued a notice to persons that are relying on exemptions or exclusions from registration as […]
Free Compliance Workshop
Mike Coglianese to Host Compliance Workshop Michael Coglianese CPA, P.C. will be hosting a complimentary Compliance Workshop at the Emerging […]