NFA Amendments discretionary customer accounts, information, risk disclosures, bunched orders Feb 03, 2020 NFA recently amended several rules and Interpretive Notices related to discretionary customer accounts, customer information, risk disclosures and… Read More
Turnkey Trading Partners – “Best Compliance Services” Provider Jan 14, 2020 The Alt Credit US Awards 2020 is the only awards which recognizes service providers, credit hedge funds, CLO and private debt funds who are outperforming their competitors and leading the way in the US
NFA CFTC Annual Compliance Obligations Dec 16, 2019 As 2019 comes to a close staff will begin leaving for holiday vacation and compliance will be forgotten. Turnkey Trading Partners always likes to remind our clients to consider annual compliance deadlines and obligations. This year saw both the Commodity Futures Trading Commission (“CFTC”) as well as National Futures Association (“NFA”) roll out a number of new compliance and regulatory changes. They also increased enforcement efforts and have generally been more active with audits than they have in previous years. Earlier this month Turnkey published an article about enforcement actions, patterns, and trends to look out for in 2020.