Braemar Securities LTD is the Most Recent Introducing Broker to be Hit with a 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
Strategic Record-Keeping: A Comprehensive Approach Nov 20, 2023 In last months article, Turnkey Trading Partners (“Turnkey”) discussed Critical CFTC Supervision and Record-Keeping Tips, emphasizing the significance… Read More
Critical CFTC Supervision and Record Keeping Tips Oct 30, 2023 Over the past year major financial institutions have paid over $1 Billion in fines for record keeping violations. Many of the fines were due to the inability to monitor digital communications. One of these firms, HSBC, recently took a bold step to cover off the regulatory risks of having staff using text messages. Discover how they’re cracking down, and decide if your firm should be too. Please read more here.