May 27, 2018

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NFA Issues Notice of Additional Questions for CPOs on the Annual Pool Financial Statement

On January 18, the National Futures Association (NFA) issued a Notice to inform commodity pool operators that two additional questions concerning virtual currency activities have been added to the cover page of the annual pool financial statement. The changes are effective for financial statements as of October 31, 2017 or later.

NFA’s Notice I-18-03 is available here.

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About this Author

Ayah Sultan, Katten Law Firm, Financial Services Attorney
Associate

Ayah Sultan is an associate in the Financial Services practice. 

While in law school, Ayah served as an editor of the Harvard Business Law Review, a member of the Harvard Law Entrepreneurship Project and a board member of the Women's Law Association.

212-940-6483
Kevin M. Foley, Finance Lawyer, Katten Llaw Firm
Partner

Kevin M. Foley has extensive experience in commodities law and advises a wide range of clients, both in the United States and abroad, on compliance with the Commodity Exchange Act and the rules of the Commodity Futures Trading Commission (CFTC) affecting traditional exchange-traded products, as well as the over-the-counter markets involving swaps and other derivative instruments. His clients include futures commission merchants, derivatives clearing organizations, designated contract markets, foreign boards of trade and an industry trade association.

Kevin has served as counsel to the Futures Industry Association (FIA) for more than 20 years. In 2012 he was recognized for his exemplary efforts on behalf of the association and the industry, in particular for his guidance in navigating the challenges confronting FIA member firms in complying with the Dodd-Frank Wall Street Reform and Consumer Protection Act.

312-902-5372