NFA Audit Examination Deficiency Areas – March 2019 Mar 05, 2019 For 2019 the following areas seem to be where NFA is looking for deficiencies. Focus areas range from a firm’s information systems security program (“ISSP”) or cybersecurity policy, to more traditional trouble spots like accounting or promotional material best practices. The following is a brief summary of the most common deficiency and focus areas Turnkey has been seeing through the first quarter of 2019.
CFTC/NFA – Regulatory Recap – January 2019 Jan 14, 2019 Each month Turnkey Trading Partners summarizes the NFA and CFTC regulatory announcements most likely to impact registered firms. Join our monthly newsletter to have these summaries sent to your inbox.
CFTC & NFA Compliance Issues For 2019 Nov 19, 2018 The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association… Read More