CPO Workshops

Below are the materials and resources from the CPO Workshops held in London, New York, Chicago and San Francisco for entities that operate pools whose exemptions will expire December 31, 2012.

Session 1: Registration
Slides

• Proficiency Requirements
• CFTC Part 4 Exemption – Easy Reference Guide
• Notice to Members I-12-9
• Notice to Members I-12-12
• Notice to Members I-12-20
• CFTC FAQs
• Fund-of-Funds Guidance
• Guidance for Foreign Entities

Session 2: Disclosure Documents
Slides

• Disclosure Documents: A Guide for CPOs and CTAs
• Notice to Members I-10-12

Session 3: Performance Reporting
Slides

• Sample Performance Calculation
• Appendix B to CFTC Part 4
• Materiality Interpretive Notice

Session 4: Pool Financial Reporting
Slides

• CFTC PQR Schedule A 

Session 5: Sales Practices
Slides

• A Guide to NFA Compliance Rules 2-29 and 2-36: Communications with the Public and Promotional Material

Session 6: NFA Audits
Slides

• Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs

Registration Video Tutorials