Category: Articles & Publications

PRIVATE FUNDS MANAGER: Splitting the Difference: SEC vs NFA Exams

February 21, 2018, By Claudia Ranieri and Susan Lynskey, Directors, Alaric Compliance Services

Registered investment advisers, commodity trading advisors (CTAs), commodity pool operators (CPOs) and other entities registered with the Commodities Futures Trading Commission (CFTC) and members of its self-regulatory organization the National Futures Association (NFA), must meet many of the regulatory requirements that apply to Securities and Exchange Commission (SEC) registered firms.

However, there are key differences between these regulatory agency requirements that registrants should understand to support a successful NFA review.

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