Product innovation (including in pooled investment vehicles) is encouraged, but innovation must be consistent with the law.
The US Commodity Futures Trading Commission’s (CFTC’s) Division of Swap Dealer and Intermediary...more
3/5/2020
/ CFTC ,
Commodity Exchange Act (CEA) ,
CPOs ,
Derivatives ,
Digital Assets ,
Disclosure Requirements ,
DSIO ,
Enforcement Actions ,
Futures ,
National Futures Association ,
Pooled Investment Vehicles ,
Regulatory Violations
The NFA will soon require CPO, CTA, FCM, and IB member firms to provide various disclosures warning investors of virtual currency spot and derivatives trading risks.
New disclosure requirements warning customers,...more
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
The proposal would place restrictions on certain investment funds to limit their use of derivatives and require certain risk management procedures.
On December 11, 2015, the US Securities and Exchange Commission (SEC)...more