The End of CFTC/NFA Remote Work?

Since last March, the world has grappled with the transformational effects of the Coronavirus (Covid-19) pandemic. A fundamental shift in how industries operate unfolded before our very eyes. Old standards were replaced almost overnight by newer and more efficient ones.

NFA Trade Execution Audit: Are you Prepared?

One of the trends we have identified during recent audits of Introducing Brokers (“IBs”) is that National Futures Association, Commodity Futures Trading Commission, and CME Group examiners are becoming increasingly granular about their testing of trade execution record keeping. In particular, we are seeing attempts to evaluate how brokerage firms are able to “recreate the trade”.