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
NFA Trade Execution Audit: Are you Prepared? Jan 31, 2020 National Futures Association, Commodity Futures Trading Commission, and CME Group examiners are becoming increasingly granular about their testing of trade execution record keeping. The following article describes what you can do to protect your firm when this part of your business is reviewed.
Changes to GIB and Branch Office Supervision? Oct 15, 2018 The financial services industry has been enduring a period of intense consolidation for more than a decade. Perhaps… Read More