CTA Performance Reporting and Allocation Variance Feb 28, 2020 NFA audits evaluate many compliance items. An area not often discussed is performance reporting, bunched or blocked orders, and what is or is not acceptable rate of return variance for CTA and CPO registrants. This article discusses these points and Turnkey’s experienece with them over the years.
NFA Amendments discretionary customer accounts, information, risk disclosures, bunched orders Feb 03, 2020 NFA recently amended several rules and Interpretive Notices related to discretionary customer accounts, customer information, risk disclosures and bunched orders. These amendments will become effective on March 1, 2020 and… Read More
NFA Trade Execution Audit: Are you Prepared? Jan 31, 2020 National Futures Association, Commodity Futures Trading Commission, and CME Group examiners are becoming increasingly granular about their testing of trade execution record keeping. The following article describes what you can do to protect your firm when this part of your business is reviewed.