The questions concerning the CFTC’s Forms CPO-PQR and CTA-PR number in the many. The agency’s Division of Swap Dealer and Intermediary Oversight Nov. 5 published ...
All members of the National Futures Association will have to have a written cybersecurity program in place by next March. This after the Commodity Futures ...
The Commodity Exchange Act forbids firms from commingling segregated customer funds with their own. It also limits customer funds that can be placed in a ...
If you’re registered with the National Futures Association, you must annually complete its self-examination questionnaire – which the SRO’s examiners will ask to see (IA ...
Cybersecurity is occupying a great deal of compliance officers’ attention at major financial firms, acknowledges CFTC commissioner Sharon Bowen. If some of Bowen’s ideas concerning ...
A new final rule from the CFTC would require commodity pool operators, certain commodity trading advisors and introducing brokers to either become or remain a ...
Sometimes the regulatory obligation falls to another party but ends up involving you anyway. So it is with the CFTC’s ownership and control report rule. ...
You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...
It’s been five years since Congress passed Dodd-Frank and the CFTC still hasn’t implemented required swaps data reporting rules. But it took a step in ...
Futures commission merchants and introducing brokers should review a recent advisory from the Department of the Treasury’s Financial Crimes Enforcement Network to ensure their anti-money ...