SIFMA Asset Management Group and the National Futures Association urged the CFTC to amend its proposal to simplify regulatory obligations for commodity pool operators and commodity trading advisors.
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The National Futures Association levied a $1 million fine against a London-based commodity pool operator and commodity trading adviser for allowing prohibited loans, failing to disclose material information to pool participants, and other misconduct concerning its chief executive officer.
A commodity pool operator and commodity trading advisor paid a $60,000 fine to settle NFA Business Conduct Committee charges that it had committed failures with offshore pool funds.