Commodity Pool Operators

Commodity Pool Operators continue to adjust to the regulators increasing internal control requirements while also accommodating the ongoing interference posed by COVID-19 and associated pressures. Maintaining compliance with ongoing requirements, including supervision of personnel and branch offices in remote and hybrid environments, marketing to clients and ensuring that new requirements are met has placed a larger-than-usual burden on firms.

The changes to daily operations will hold long into the future with stakeholders now demanding flexible options - firms will need to implement or find permanent solutions to adequately supervise and market their operations in this remote environment.

Providing specialist support for CPO's

We support an international and diverse base of firms at all stages of their journey. Our specialist team includes first-hand regulatory experts with deep understanding of the requirements and challenges firms face, with the ability to access our global specialists in client assets, market abuse, exchange rules, financial crime, transaction reporting, governance, derivatives trading and clearing and benchmark administration.

We provide:

Targeted support for firms

Whether you’re a new business, or an established firm embarking on CTFC/NFA regulated activities, we can help you understand your obligations, determine if your firm should be CFTC registered, and, if so, assist you in obtaining CFTC registration and NFA membership. If your firm is newly authorised, we can advise on efficient ways to remain compliant.

Ongoing advice and in-depth reviews for CFTC registered businesses:

We work with some of the longest-established names in the industry, providing in-depth reviews of compliance arrangements; conducting mock examinations, health checks and ongoing advice and support; many of our clients have been working with us for five years or more.