CFTC Rule 1.22 Garners Final Approval – FCMs
In what is seen as a victory for FCMs and its customers, the CFTC approved a final rule addressing the […]
NFA Pool Audit – Liquidating Rules
An NFA pool that has ceased operation prior to, or as of, the end of the fiscal year, the CO […]
CPO Compliance Changes
Now is an excellent time to contact your auditor to prepare for year end. Contacting and engaging now allows auditors […]
CPO and CTA Compliance Reminders
Per NFA Compliance Rule 2-46, CPOs and CTAs are to electronically file Forms PQR and PR (as applicable) with NFA […]
Annual Certified Audit Reminders – Introducing Brokers and SWAP…
Now is an excellent time to contact your auditor to prepare for year end. Contacting and engaging now allows auditors […]
Hedge Fund Advertising Ban – CFTC Eases Restrictions
Commodity regulators in the U.S. have made it easier for hedge funds and other firms to raise capital by publicly […]
Futures and Hedge Fund Industry Networking Event – September…
On September 22, 2014 Michael Coglianese CPA, P.C., Henderson Law, and Midland IRA will be hosting a Networking Event specific […]
CTAExpo 2014 – Compliance Workshop
The CTA Expo will be held in Chicago on September 23, 2014. The conference will be held at the […]
Advisory Review for Introducing Brokers and Futures Commissions Merchants
In August, the Financial Crimes Enforcement Network (FinCEN) issued an Advisory announcing that the Financial Action Task Force (FATF) had […]