CFTC/NFA – Regulatory Recap – August 2020 Aug 28, 2020 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. To better assist you Turnkey Trading Partners has put together a summary of the various regulatory notices and adjustments which have occurred since our last newsletter.
CFTC and NFA Compliance: Covid’s “New Audit Normal” Jul 30, 2020 Previously NFA member firms had their annual reviews conducted on-site and in-person, Covid-19 has changed all of that. For the foreseeable future all outside office reviews, including those of FCMs, IBs, GIBs, CTAs, and CPOs will be conducted remotely via a virtual meeting of some type.
CFTC/NFA – Regulatory Recap – July 2020 Jul 30, 2020 It can be difficult to keep track the various regulatory announcements and changes that occur during a month. To better assist you Turnkey Trading Partners has put together a summary of the various regulatory notices and adjustments which have occurred since our last newsletter.