Ruddy Law assists clients with initial and ongoing regulatory needs associated with the NFA, CFTC and state regulatory agencies. Our experience is broad and allows us to assist clients with all phases of the structuring, negotiating, and registering of alternative investment endeavors. Our clients include registered entities as well as entities whose practices do not require membership in the NFA or registration with the CFTC.
Our experience in commodities law includes work in the following areas:
- Organization of commodity trading advisors, commodity pool operators, introducing brokers, and futures commission merchants;
- Preparation and completion of applications to self regulatory organizations (including NFA membership and CFTC registration) and exchange memberships;
- Offering counsel on the structuring of both onshore and offshore investment funds;
- Drafting of commodity pool operator and commodity trading advisor disclosure documents;
- Drafting and negotiation of investment advisory agreements;
- Drafting and review of supervisory and compliance procedures and manuals;
- Drafting and review of customer account forms, privacy policies, and anti-money laundering policies;
- Negotiation of prime broker, ISDA, and other over-the-counter counterparty trading relationships;
- Full-scale reviews of CFTC registrants and NFA members regulatory compliance;
- Preparing for and responding to federal and self-regulatory organization examinations;
- Assisting with all other on-going compliance requirements including due diligence and supporting documents needs; and
- Investment fund due diligence.