Commodity trading advisor definition

These reports are used for market surveillance as well as for investigations or litigation cases. Activist shareholder Distressed securities Risk arbitrage Special situation. Nonetheless, exempt CTAs are still regulated in some form. This exemption is available to registered commodity trading advisors commodity trading advisor definition business does not consist primarily of acting as an investment adviser. Regulation and Compliance Edition.

The CFTC also increased disclosure requirements and amended the registration criteria. There are three major styles of investment employed by CTAs: From Wikipedia, the free encyclopedia.

Washington and Lee Law Review. Usually no incentive fees are charged if the Commodity trading advisor definition does not generate a profit exceeding a hurdle rate or high-water mark. However, most commodity trading advisors are able to rely on an exemption from registration set forth in Section b 6 of the Advisers Act.

Inthis law was replaced by an amended version named the Commodity Exchange Act. Retrieved 14 May Views Read Edit View history.

Retrieved 29 May Later, trading expanded significantly following the introduction of derivatives on other products including financial instruments. Regulation and Compliance Edition. Commodity markets Financial services occupations. Retrieved 5 June