Artificial Intelligence – Financial Regulations? Mar 26, 2024 Artificial Intelligence or (“AI”) has been a hot topic of discussion for the last several years. It should come as no surprise that financial regulators are beginning to take an… Read More
Develop Scoping Procedures Before Your Next NFA Audit Mar 22, 2024 By: Matt Anderson Turnkey Trading Partners (“Turnkey”) has written extensively about the expectations of industry regulators, namely the National Futures Association (“NFA”), when it comes to oral, written and electronic… Read More
Common NFA Audit Deficiencies: NFA vs Turnkey Feb 29, 2024 On February 12th, 2024 NFA distributed a notice to its members under bulletin I-24-03. Within the notice NFA covered several topics. Perhaps the most noteworthy of them was a discussion… Read More