CFTC/NFA – Regulatory Changes – September 2019 Sep 30, 2019 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. … Read More
NFA – CTA and CPO Performance Accounting Changes Sep 17, 2019 National Futures Association submitted two rule submission letters to the CFTC on August 29th, 2019 updating various 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.