Search
Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Christopher Wells ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
CFTC Adopts Additional Exemptions From Annual Privacy Notice Delivery Requirement
On April 19, 2019, the U.S. Commodity Futures Trading Commission (CFTC) approved a final rule revising the annual privacy notice delivery requirements applicable to CFTC registered commodity trading
United States
15 May 2019
2
NFA Issues Guidance On Information Systems Security Programs And CPO Internal Controls Systems
The NFA has amended its existing guidance to its members on Information Systems Security Programs (ISSPs) ...
United States
14 Mar 2019
3
CFTC Proposes To Streamline CPO And CTA Regulations By Codifying Prior Relief
On October 9, 2018, the Commodity Futures Trading Commission (CFTC) proposed new rules in connection with the CFTC's Project KISS Initiative directed at simplifying Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) regulations.
United States
24 Oct 2018
4
CFTC Grants Relief To Family Offices From Registration As Commodity Trading Advisor
On November 5, 2014, the U.S. Commodity Futures Trading Commission (CFTC) issued a no-action letter granting relief from registration as a commodity trading advisor (CTA) to family offices that qualify for the family office exemption under the Securities and Exchange Commission's family office rule, 17 CFR 275.202(a)(11)(G)-1.
United States
10 Dec 2014
Links to Result pages
 
1