Annual CPO Requirements

NFA sends an annual Notice to Members to all CPOs listing certain requirements for the upcoming year. Below are the items from this annual reminder email.  This list does not capture all of a CPO's responsibilities, but it should serve as a reminder of certain non-routine requirements.

• Complete an Annual Questionnaire
• Complete the electronic  Annual Registration Update
• Pay your NFA dues on the anniversary date of your firm's registration
• Complete NFA's Self-Examination Questionnaire
• Submit Annual Pool Financial Statements and Quarterly Reports to NFA through NFA's EasyFile system
• Distribute Annual Pool Financial Statements to current participants
• Send your firm's Privacy Policy to every current participant (in addition to every new participant when the participant invests in a fund).
• Test your Disaster Recovery Plan and make any necessary adjustments.
• Provide Ethics Training as outlined in your firm's written Ethics Training Procedures
• File any new exemption notices electronically through NFA's Exemption system.
• Update your firm's Questionnaire for any pools that have liquidated.