Although individual pools operated by a CPO are not required to register, the CPO has certain responsibilities with respect to each pool that it operates.
For each pool, a CPO must:
Part 4 of the CFTC’s regulations specifies the information that must be included in disclosure documents, account statements, and annual reports, the time frames within which they must be provided, and the specific records that a CPO must maintain.
CTAs that manage accounts must distribute disclosure documents, and maintain specified records relating to their activities and clients. These requirements are also discussed in Part 4 of the Commission’s regulations.
Disclosure documents for CTAs must be filed with NFA.
For both CPO and CTA disclosure documents: