CFTC Cybersecurity Obligation For Registrants Jan 14, 2021 On January 14, 2021 the CFTC published a notice which requires action of all Futures Commission Merchants (FCM), Introducing Brokers (IB and GIB), Commodity Trading Advisors (CTA), and Commodity Pool Operators (CPO).
World Stops; CFTC & NFA Compliance March On Mar 26, 2020 With the ongoing concerns surrounding COVID-19, news is moving fast. That means government agencies, businesses, and whole industries are having to respond quickly. As of today (March 26, 2020) the National Futures Association (“NFA”) and Commodity Futures Trading Commission (“CFTC”) have issued several notices.
Turnkey CFTC/NFA Regulatory and Compliance Recap – First Half 2019 Aug 15, 2019 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. … Read More