CFTC Provides Registration Waivers for Series 3 and Fingerprint Cards Apr 24, 2020 The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today announced that, in response to the COVID-19 (coronavirus) pandemic, it has issued additional targeted no-action relief to registrants listing new principals and to applicants for registration as associated persons (APs) from the requirement to submit a fingerprint card for any such principal or AP registration applicant.
NIBA Makes Request to CFTC for No-Action Position Apr 17, 2020 NIBA recently published information regarding the CARES act and how its members can navigate the process should they choose to do so. Looking a few steps ahead the natural question became – are there compliance and regulatory considerations for firms that apply for and receive relief?
NFA CFTC Annual Compliance Obligations Dec 16, 2019 As 2019 comes to a close staff will begin leaving for holiday vacation and compliance will be forgotten. Turnkey Trading Partners always likes to remind our clients to consider annual compliance deadlines and obligations. This year saw both the Commodity Futures Trading Commission (“CFTC”) as well as National Futures Association (“NFA”) roll out a number of new compliance and regulatory changes. They also increased enforcement efforts and have generally been more active with audits than they have in previous years. Earlier this month Turnkey published an article about enforcement actions, patterns, and trends to look out for in 2020.