U.S. CTA managing UK client accounts?

D

diutinusfides

Hi, can anybody point me to the relevant regulatory information concerning exemptions for US-based CTA to trade money from UK (and Europe, if possible)?

Thanks

P.S - my research into Australian (ASIC) exemption is Class Order 04/829, to allow US CTA to manage wholesale investor funds without an AFSL. If you are aware that this can be done without an exemption, please let me know also. Thank you!
 
I'm not aware of an exception for a USA based CTA, doing business in the USA, but accepting investors from overseas. It is my expectation that because you are here, if you don't meet the other exceptions, you have to register. You still have a place of business here and putting yourself out as a CTA.

I could be wrong of course.
 
You must log in or register to reply here.
Back
Top