Braemar Securities LTD is the Most Recent Introducing Broker to be Hit with a Failure to Supervise Nov 27, 2023 On August 15, 2023, the Business Conduct Committee (BCC) of the National Futures Association (NFA) issued a formal… Read More
Strategic Record-Keeping: A Comprehensive Approach Nov 20, 2023 In last months article, Turnkey Trading Partners (“Turnkey”) discussed Critical CFTC Supervision and Record-Keeping Tips, emphasizing the significance… Read More
Another Introducing Broker Hit With Failure to Supervise; Record Keeping Shortcomings Oct 31, 2023 Turnkey cannot express enough how critical it is for firms to take communication record keeping and supervision seriously. … Read More