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 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
CTA/CPO Ratio Errors; NFA PQR and PR Filings Oct 05, 2018 Turnkey has been assisting our CTA and CPO customers with quarterly reports for several years. This month NFA… Read More