The CFTC Division of Swap Dealer and Intermediary Oversight extended temporary no-action relief from July 23, 2020 to September 30, 2020 to principals and associated persons from rules requiring a fingerprint card when registering with the Commission.
A CFTC final rule aimed at preventing certain bad actors from seeking exemptions from registration as CPOs under CFTC Rule 4.13 ("Exemption from Registration as a Commodity Pool Operator") was published in the Federal Register.
NFA notified members that it would not pursue disciplinary actions if a firm allows associated persons to temporarily work from home under business contingency plans, provided that the firm institutes adequate supervisory methods and meets its recordkeeping requirements.
Cadwalader welcomed new partner Vivian Maese, whose practice focuses on complex strategic and corporate technology transactions within the financial services industry, to the firm's Corporate practice group.
The Managed Funds Association requested that the CFTC provide several clarifications before finalizing proposed rules simplifying regulatory obligations for commodity pool operators and commodity trading advisors.