Series 3: 7.5.2.3. Business Disclosures

7.5.2.3. Business Disclosures

General information. The risk disclosure must also include the CTA’s name, main business address and telephone number and its form of organization. If the mailing address is a post-office box number or is outside the U.S., the trading advisor must state where its books and records will be kept and made available for inspection.

It must also identify the names of the following persons:

• Each principal of the trading advisor

• The FCM with which it will require the customer to maintain its account

• The introducing broker through which it will require the customer to introduce its account

Business background. It must identify the business background of the commodity trading advisor for the previous five years and each principal of the trading advisor who participates in making trading decisions or supervises those who do. Included in the description of their business backgrounds, the CTA must identify the name and m