NFA Supervision Branch and GIB Offices Jun 10, 2019 Starting in June, NFA will now require firms to put in place a due diligence review process for each branch office, guaranteed IB and their personnel. NFA has also stated that an effective oversight program of branch offices and guaranteed IBs also includes written supervisory policies and procedures describing a Member’s process for performing routine surveillance and supervision, as well as annual inspections that are documented through a written report.
Turnkey CFTC/NFA Regulatory and Compliance Recap – April 2019 Apr 25, 2019 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. To better assist you Turnkey Trading Partners has put together a summary… Read More
CFTC and NFA Regulatory Requirements & Reminders Mar 12, 2019 Turnkey Trading Partners is committed to providing NFA Members with the resources they need to meet their regulatory obligations as efficiently as possible. The following information was published by NFA… Read More