2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review the below notices from 2019 as you plan your 2020 compliance program:
There are also a couple of new requirements coming into effect for NFA/CFTC registered firms this year:
As you assess these new requirements, you may also be working on Bylaw 1101 due diligence, ahead of the March 2nd deadline to affirm certain exemptions.
ACA COMPLIANCE GROUP