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
NFA Audit Examination Deficiency Areas – March 2019 Mar 05, 2019 For 2019 the following areas seem to be where NFA is looking for deficiencies. Focus areas range from a firm’s information systems security program (“ISSP”) or cybersecurity policy, to more traditional trouble spots like accounting or promotional material best practices. The following is a brief summary of the most common deficiency and focus areas Turnkey has been seeing through the first quarter of 2019.