Archive for the ‘CPOs and CTAs’ Category

Mallon P.C. Announces Creation of Easy-to-Use NFA Self-Exam Checklists

Posted on February 9, 2010, 11:50 am, by lsico, under CPOs and CTAs, Hedge Fund News, Press Releases, forex, hedge fund managers.

Hedge Fund Law Firm creates NFA required self-examination checklists to assist all types of CFTC registered managers. The checklists can be downloaded online at http://www.hedgefundlawblog.com/
San Francisco, CA (PRWEB) February 9, 2010 — In an effort to better serve firms registered with the Commodity Futures Trading Commission (“CFTC”), Mallon P.C. has developed a set of easy-to-use [...]

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CFTC Cracks Down on Sloppy CTAs

Posted on March 29, 2009, 5:37 pm, by admin, under CPOs and CTAs.

The CFTC is cracking down on commodity trading advisors who are sloppy in their back end operations.  CTAs need to be especially careful to make sure that their back end operations are appropriately monitored.
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Release: 5631-09
For Release: March 11, 2009
CFTC Sanctions Chicago-based Walsh Trading Inc. $50,000 for Failing to Supervise an Employee’s Handling of Customer Accounts
The [...]

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