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The IAA joined others to submit comments to the CFTC regarding the potential for adverse and unintended cross-border impacts of its proposal regarding the regulation of commodity pool operators and commodity trading advisors.
September 13, 2019
The IAA joined other trade associations to urge the CFTC to extend the deadline for comments on the proposal regarding swap execution facilities and the trade execution requirement because of the complexity and size of the proposal.
December 21, 2018
The IAA recommended that the CFTC eliminate duplicative registration requirements and outdated conditions. The IAA also sought clarification regarding certain exemptions and requested that SEC-registered advisers be excluded from certain proposed provisions.
December 17, 2018
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023