US Forex Disclosure Document

US Forex Disclosure Document

Regulations now require introducing brokers and forex commodity trading advisors (CTA), forex hedge fund managers (also known as commodity pool operators “CPO”) whose business involves retail off-exchange foreign exchange (forex) contracts are required to be NFA members and register with the CFTC.

These new categories of registered persons, as provided by the NFA, are called “Forex CPOs” and “Forex CTAs.” Like the CPO and CTA disclosure documents, it is likely that both Forex CPOs and Forex CTAs will be required to deliver a disclosure document to prospective investors. The Forex CPO or Forex CTA will need to make delivery at the same time or before the delivery of the Forex Pool’s offering documents or the Forex Program’s advisory agreement. The Forex CPO or CTA will need to receive signed acknowledgement by the investor that they have received the disclosure document.

The Basics of the Forex Disclosure Document
  • Cover Page
  • Front Cover Disclaimer
  • Table of Contents
  • Basic Background Information
  • Forex Dealer Member
  • Forex Introducing Brokers
  • Principal Forex Risk Factors
  • Forex Trading Program
  • Conflicts of Interest
  • Litigation
  • Trading Forex for Own Account
  • Performance Reporting Overview
  • Additional Information Required for Forex CPOS
  • Material Information
  • Supplemental Information

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