CFTC/NFA Examinations workshop – 1 December 2015

The number of registered CPOs and CTAs has increased due to the CFTC revoking the exemption for Hedge Funds.  In addition to the increase in registration with the SEC, Hedge funds are now gearing up for CFTC registration.  Whilst there are certain similarities between the CFTC & SEC registration requirements there are also notable differences that Hedge Funds need to be aware of. This half day workshop will help you familiarise yourself with a new regulatory regime that is often enforced on a day-to-day level by the NFA.  Many HF Managers continue to wrestle with the form and substance of their annual self-examination review obligations and how to deal with a NFA examination.

This half day workshop will be led by Patricia Cushing, Director, Compliance at the National Futures Association.