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within Intellectual Property, International Law, Litigation and Mediation & Arbitration topic(s)
NFA permanently banned a former CPO/CTA for submitting
uncertified liquidation and annual financial statements.
According to NFA, the CPO/CTA filed (i) unaudited annual pool
financial statements without being certified by an independent
public accountant and (ii) unaudited liquidation statements after
terminating and liquidating certain pools. In 2018, the
CPO/CTA's former chief financial officer informed NFA that the
CPO/CTA stopped all operations and ceased to exist as a legal
entity. NFA found that, despite advising the CPO/CTA that it must
still submit a certified annual statement and liquidation
statement, the CPO/CTA was non-responsive.
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