NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
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The CFTC Market Participants Division granted no-action relief to a futures commission merchant regarding the manner in which it receives and holds funds deposited by Taiwan-based customers, when there may be a conflict between CFTC and Taiwan regulation governing the segregation of customer funds.
NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022.
NFA provided guidance on annual affirmation obligations for CPOs and CTAs that are exempt from CFTC registration.
A futures commission merchant settled CFTC charges for failing to adequately supervise customer accounts carried on behalf of an unaffiliated introducing broker.