NFA Supervision Branch and GIB Offices Jun 10, 2019 Starting in June, NFA will now require firms to put in place a due diligence review process for each branch office, guaranteed IB and their personnel. NFA has also stated that an effective oversight program of branch offices and guaranteed IBs also includes written supervisory policies and procedures describing a Member’s process for performing routine surveillance and supervision, as well as annual inspections that are documented through a written report.
Turnkey Hedgeweek’s Best Global Regulatory Advisory Firm Feb 19, 2019 The Hedgeweek Global Awards 2019 for excellence among hedge fund managers and service providers celebrate the achievements of firms that… Read More
Turnkey Trading Partners – Best CFTC/NFA Compliance Firm 2019 Feb 14, 2019 This week the 2019 CTA Intelligence US Services Awards were held in New York City. These annual events are intended… Read More