CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers

By Newsroom America Feeds at 11 Dec 2017

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CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Unions MiFID II Research Compensation Provisions for Investment Managers http://www.cftc.gov/PressRoom/PressReleases/pr7657-17.html?utm_source=govdelivery 12/11/2017 12:53 PM EST *The Commodity Futures Trading Commissions (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued interpretative guidance providing that a futures commission merchant (FCM), swap dealer (SD), or introducing broker (IB) that receives separate compensation for commodity trading advice is not required to register as a commodity trading advisor, provided that the offered advice is solely incidental to the conduct of the FCMs or SDs business, or solely in connection with the operation of the IBs business.

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