Recent Developments Affecting Commodity Pool Operators and Commodity Trading Advisors  

September 16, 2020
The Review of Securities & Commodities Regulation

In this article, the authors lay out the various recent changes the CFTC has made to simplify certain regulations applicable to CPOs and CTAs and to close a perceived regulatory gap, as well as reporting relief measures that the CFTC and the NFA have afforded to CPOs and CTAs. They also discuss branch office registration relief for firms with APs temporarily away from their firm’s main office and fingerprinting relief when obtaining fingerprint cards would be difficult or dangerous. They close with a description of the CFTC’s proposed amendments related to its periodic systemic risk reports.

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