CFTC & NFA Compliance Issues For 2019 Nov 19, 2018 The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association (“NFA”) member firms are most focused on growing their book of business. … Read More
CFTC & NFA – Regulatory & Compliance Recap – November 2018 Nov 07, 2018 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
Changes to GIB and Branch Office Supervision? Oct 15, 2018 The financial services industry has been enduring a period of intense consolidation for more than a decade. Perhaps the sector most impacted by this trend has been the commodity interest… Read More