What We'll Cover
Key Discussion Points
01
Recent CFTC / NFA Rule Updates
An overview of the most significant recent rule changes and guidance from the CFTC and NFA, and what they mean for commodity pool operators, commodity trading advisors, and fund managers.
02
Key Takeaways from NFA Exams: Triggers, Structure & Volume
A deep dive into what is driving NFA examination activity, how exams are being structured, and trends in examination volume — with practical insights from recent exam cycles.
03
Emerging Focus Areas & Trends
Exploration of the areas receiving heightened regulatory attention, including evolving examiner priorities and the topics most frequently surfacing in NFA and CFTC reviews.
04
Common Exam Deficiencies
A practical review of the most frequently cited deficiencies identified during NFA examinations, with guidance on how firms can proactively address gaps in their compliance programs.
05
Recent Enforcement Actions
A review of notable recent CFTC and NFA enforcement actions, the conduct at issue, and key lessons for fund managers seeking to strengthen their compliance posture.