CFTC Proposed Registration Relief for Non-U.S. Futures Commission Merchants, Commodity Pool Operators, Commodity Trading Advisors and Introducing Brokers

On July 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) proposed amendments to its rules (“Proposed Rules”) that loosen the conditions for exemption from registration as a futures commission merchant (“FCM”), commodity pool operator (“CPO”), commodity trading advisor (“CTA”) and introducing broker (“IB”) for non-U.S. persons who act solely on behalf of persons located […]

Take these steps to find a qualified financial advisor

How can you make sure you choose the right financial professional? It’s impossible to be absolutely certain you’ve found someone trustworthy and with whom you will enjoy working, but there are some steps you can take to ensure that your advisor is qualified and in good standing with industry regulators. Different types of advisors First, […]