The Commodity Futures Trading Commission (CFTC) approved a proposed rule to revise a CFTC regulation that requires certain futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators
, introducing brokers, major swap participants, and swap dealers to provide annual privacy notices to customers.
The financial services practice enjoys an international reputation, providing legal counsel to several hundred advisers, broker-dealers and commodity pool operators
that sponsor, manage and advise hedge funds, private equity funds, venture capital funds and separately managed accounts.
The company's services include set-up and registration of new investment advisers, broker/dealers, commodity pool operators
, and commodity trading advisors; support for coordination and defense of actual regulatory audits, investigations, inquiries, and sweeps; and strategic counseling on fund organization, registration, and back and middle office staffing.
Debbie has represented registered and exempt commodity pool operators
and commodity trading advisors for nearly 30 years and also regularly advises mutual funds, banks, insurance companies, endowments and foundations on commodities law matters.
Commodity pool operators
and commodity trading advisors dually registered with the SEC and the CFTC are also required to file Form PF.
The CFTC order requires MCM, MCA and MA, all of whom are CFTC registrants, jointly and severally, to pay a $25 million civil monetary penalty and restricts their registrations as Commodity Pool Operators
and/or Commodity Trading Advisors for three years.
They also analyze how the regime applies to securities brokers and dealers, foreign banks, investment companies and advisers, futures commission merchants, and commodity pool operators
and trading advisers.
The Commodity Futures Trading Commission (CFTC) unanimously approved proposed rules as a part of CFTCs KISS Initiative to simplify regulations for commodity pool operators
(CPOs) and commodity trading advisors (CTAs).
Altegris Clearing Solutions serves a range of clientele, including institutional and high net worth investors, family offices, hedge fund managers and commodity pool operators
. Altegris Clearing Solutions also provides access to and consulting services around a platform of managed futures managers available via individual managed accounts.
Jon works exclusively with clients in the financial services industry and has particular expertise in meeting the needs of domestic and offshore investment partnerships/companies, commodity pool operators
and commodity trading advisors, fund of funds, registered investment advisers, broker-dealers, futures commission merchants, regulated investment companies, business development companies and specialty finance companies.
<p>Persons who solicit orders, exercise discretionary trading authority and operate pools with respect to retail forex would also be required to register, either as introducing brokers, commodity trading advisors, commodity pool operators
, or as associated persons of such entities.
Proposed Rule Amending Registration and Compliance Obligations for Commodity Pool Operators
(CPOs) and Commodity Trading Advisors (CTAs), Fintech Cooperation Arrangement(s), Paperwork Reduction Act delegation to the Secretary of the Commission