Select Ongoing Compliance Responsibilities for Registered CPOs & CTAs
By Gavin Fearey and Jason Schmidt
Once a firm registers with the Commodity Futures Trading Commission (CFTC) as a commodity pool operator (CPO) and/or commodity trading advisor (CTA) and becomes a member of the National Futures Association (NFA), its most important challenges lie ahead. CPOs and CTAs are required to undertake numerous ongoing compliance obligations in order to comply with the rules of the CFTC and NFA. If a firm prepares from the outset, it will be far better positioned to effectively manage the time, money and physical space that it will need to allocate to ongoing regulatory compliance.
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