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 CPO registration under CFTC Reg 4.5 or CTA registration under 4.14(a)(8), you must reaffirm this exemption on or before March…

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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 of Labor’s so-called Fiduciary Rule having died earlier this year is making a comeback in a different version. But more…

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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 offer (CCO) duties and annual compliance reporting requirements for FCMs, swap dealers, and major swap participants.  The amendments clarify a…

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