Investment Law Group of Davis Gillett Mottern & Sims LLC
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We represent commodity trading advisors pursuing highly varied strategies, designed to trade numerous commodity and forex contracts. Our experienced attorneys provide complete representation, from CTA registration and exemption filing to ongoing compliance.
Commodity trading advisors are afforded substantial flexibility to develop professional investment management businesses centered around commodity andforex trading. Although commodity trading advisors must generally operate within the rules of the CFTC and National Futures Association, or operate within an exemption, most of our clients are able to achieve their goals within a compliant structure.
For clients that determine CTA registration to be the best way to build a successful futures or forex trading business, we provide an end-to-end registration solution. CTA registration generally involves taking and passing required examinations, submitting a Disclosure Document for approval by National Futures Association, and paying associated filing fees. The Disclosure Document must be approved by National Futures Association prior to soliciting clients.
Once registered, commodity trading advisors must develop a robust compliance program to remain compliant with ongoing recordkeeping, training, business continuity and disaster recovery rules.
We provide the following services in connection with the formation and operation of Commodity Trading Advisors:
Preparing and filing the organizational documents to form your commodity trading advisor firm as a legal entity (if not already formed by you)
Preparing an operating agreement to govern the internal policies and procedures of your CTA firm
Providing advice regarding available exemptions from CTA registration and alternate business structures
Establishing an account with and obtaining access to the National Futures Association through their Online Registration System (ORS) for your firm
Preparing and filing commodity trading advisor registration Form 7-R with National Futures Association and the CFTC for your firm
Preparing and filing Form 8-R with National Futures Association and the CFTC for each of your firms Principals and Associated Persons
Drafting a standardized customer account agreement for discretionary advisory services to be used with advisory clients
Drafting a Commodity Trading Advisor Disclosure Document to enable client solicitation
Submitting the Disclosure Document and client account agreement to National Futures Association for approval
Interfacing with compliance personnel at National Futures Association (and responding to any deficiency letters) as part of both the (i) CTA registration process and (ii) Disclosure Document approval process
Preparing written operational policies and procedures as required by applicable rules of the CFTC and National Futures Association