New CFTC Examination Initiative: Q&A with the Regulators


Earlier this month, the staff of the U.S. Commodity Futures Trading Commission (CFTC) announced that, in 2020, it will begin conducting “thematic reviews” of large commodity pool operators, a category that includes many hedge fund managers.

To help managers prepare for this new development, the Alternative Investment Management Association (AIMA) and Schulte Roth & Zabel are cohosting an in-person discussion with Joshua Sterling, the Director of the CFTC’s Division of Swap Dealer and Intermediary Oversight (DSIO) and Regina Thoele, Senior Vice President of Compliance and Director of the examination program at the National Futures Association.   

In this session, we will discuss the new landscape for CPO examinations and put managers in a better position to address the expectations of regulators.


  • Joshua B. Sterling, Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
  • Regina Thoele, Senior Vice President, Compliance, National Futures Association
  • Suzan Rose, Senior Advisor, Government and Regulatory Affairs, AIMA
  • Brian T. Daly, Partner, Schulte Roth & Zabel

Please Note: If you are interested in joining via simulcast at SRZ’s London office, you may register at

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