Riveles Law Group regularly assists commodity pool operators and trading advisers in all aspects of their operations. When no exemptions are available, we register CPO and CTAs with the NFA, prepare comprehensive NFA disclosure documents and break-even analysis, and liaise with NFA personnel throughout the registration and approval process. Our attorneys also routinely assist in developing robust compliance programs that satisfy ongoing recordkeeping, training, business continuity, and disaster recovery requirements.
Our CTO and CTA services include:
- Structuring and establishing CPOs and pools, including the preparation of CPO operating and investment management agreements and pool offering memorandum, limited partnership agreements, and subscription documents.
- Counseling as to available exemptions under Section 4 of the CFTC Regulations.
- Obtaining NFA online registration system access after proceeding through the account establishment process.
- Preparing and filing CPO registration applications under Form 7-R and CPO principal and associated person applications under Form 8-R.
- Preparing comprehensive disclosure documents outlining CPO investment programs, fees and expenses, principal risk factors, break even analysis, redemption provisions, performance disclosures, and other required information.
- Liaising with NFA compliance personnel in connection with CPO registration.
- Ongoing counsel as to quarterly and annual compliance, reporting, and disclosure requirements.
More information on the registration and compliance requirements for CPOs can be found here.<< Investment Advisers