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05-27-14

Regulatory Brief - Rules for CPOs and CTAs

In light of the wave of fraud committed by pools in recent years, the National Futures Association (“NFA”) is considering moving towards a more stringent regime for commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”). On January 23, 2014, the NFA issued a Member Notice in which it sought comments on new proposed CPO and CTA capital requirements and customer protection measures.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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