Navigating CTA Registration: Lessons from Recent CFTC Enforcement Actions Aug 29, 2024 The importance of proper registration with the Commodity Futures Trading Commission (CFTC) as a Commodity Trading Advisor (CTA) is underscored by recent enforcement actions against individuals and firms deemed to… Read More
CFTC and NFA Identity Theft Training Aug 26, 2024 National Data Breach Just last month hackers obtained millions of names, phone numbers, social security numbers, mailing addresses, and email addresses from US citizens. The breach, which is one of… Read More
Common NFA Audit Deficiencies: Summer 2024 Edition Jul 31, 2024 Turnkey periodically shares common audit deficiencies observed in National Futures Association (“NFA”) exams. Typically supporting 10 to 15 audits simultaneously, we gain insight into the areas the NFA emphasizes most…. Read More