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NFA Proposes Guidance on Diligent Supervision of Associated Persons

UPDATE: On 1 May 2025, NFA withdrew Interpretive Notice 9083. The guidance remains available on NFA’s website for industry participants’ review....more

5/6/2025 / CFTC , Compliance , Derivatives , Due Diligence , Enforcement Actions , NFA , Proposed Rules , Regulatory Requirements , Risk Management , Supervision

Know Your Limits: The CFTC Adopts Position Limits for Derivatives Related to Energy, Agriculture, and Metals Products

INTRODUCTION - The Commodity Futures Trading Commission (CFTC) recently voted 3–2, along party lines, to approve a final rule (Final Rule) regarding position limits for certain futures contracts and economically equivalent...more

11/4/2020 / Asset Management , CFTC , Commodity Exchange Act (CEA) , Derivatives , Dodd-Frank , Investment , Investment Funds , Position Limits , Swap Dealers , Swaps

The CFTC's Enforcement Division Again Puts Market Participants on Notice About Its Expectations Concerning Compliance Programs

Continuing to press the message that implementing and enforcing an effective compliance program is a business imperative, not an optional “best practice,” on 10 September 2020, the Commodity Futures Trading Commission (CFTC)...more

10/8/2020 / Asset Management , CFTC , Compliance , Derivatives , Financial Markets , Investment Funds

The CFTC Once Again Proposes Position Limits for Derivatives

INTRODUCTION - On January 30, 2020, the Commodity Futures Trading Commission (“CFTC” or “Commission”) approved a proposed rule (the “Proposed Rule”) for new and amended regulations concerning speculative position limits for...more

3/23/2020 / Amended Regulation , CFTC , Derivatives , New Regulations , Proposed Rules

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