CFTC definition
Examples of CFTC in a sentence
It is not the subject of any proceeding, investigation or inquiry brought by the SEC, CFTC, Financial Industry Regulatory Authority (“FINRA”) (or any other self-regulatory organization) or any other federal or state regulator with respect to the types of services for which it is being appointed herein or which could have a material impact on its ability to fully perform any of the services to be rendered hereunder.
In accordance with all applicable state and Federal Securities Laws, including the regulations and rules of the SEC, CFTC, NFA, and the Financial Industry Regulatory Authority (or such exceptions or exemptions therefrom), the Futures Adviser agrees to provide ancillary support services to the Adviser in connection with the Adviser’s and/or Fund’s marketing and investor solicitation activities.
The Futures Adviser represents, warrants and agrees that it is registered as a CTA and CPO with the CFTC and regulated as such by the NFA and further represents, warrants and agrees that is duly organized and properly registered and operating under the laws of Jersey, Channel Islands, with the power to own its assets and carry on its business as it is now being conducted and as proposed to be conducted under the terms of this Agreement.
The Adviser represents, warrants, and agrees that it is registered as a CTA and CPO with the CFTC and is a member of the NFA in such capacities.