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Could you be a commodity trading advisor or commodity pool operator and not know it?

Posted on 20 February 2014

As the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight recently reminded market participants in a Staff Advisory, entities that meet the definition of a commodity trading advisor (CTA) are subject to various regulatory requirements and may be required to register as a CTA with the National Futures Association (NFA).
The Staff Advisory is an indication that the CFTC is turning to compliance with its regulatory and registration requirements now that the rulemaking process of the Dodd-Frank Act is finishing………………………………………..Full Article: Source


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VRS - who has written 38958 posts on Opalesque Commodities Briefing.


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