Hot Topics in NFA Audits and CFTC Enforcement for Fund Managers and Advisers
This program covered NFA audits of CFTC-registered fund managers and advisers—how they differ from SEC audits, recent developments, common deficiencies, and survival tips—along with CFTC enforcement priorities and trends. This program was targeted at newly registered commodity pool operators and commodity trading advisors, as well as at those who may not have been audited recently. All CFTC-registrants found the overview of developments in enforcement to be of general interest.
The speakers included Deborah Monson of Ropes & Gray.
Contact Info: RGevents@RopesGray.com