Another one? Third Introducing Broker Since September to be Fined for Failure to Supervise Nov 27, 2023 On August 15, 2023, the Business Conduct Committee (BCC) of the National Futures Association (NFA) issued a formal… Read More
Building A Robust CFTC and NFA Record Keeping Program Nov 20, 2023 In last months article, Turnkey Trading Partners (“Turnkey”) discussed Critical CFTC Supervision and Record-Keeping Tips, emphasizing the significance… Read More
Another Introducing Broker Hit With Failure to Supervise; Record Keeping Shortcomings Oct 31, 2023 Turnkey cannot express enough how critical it is for firms to take communication record keeping and supervision seriously. … Read More