Consolidate AML, ISSP, TPSP Reviews to Save Time, Money, and Stay on Top of Compliance Apr 23, 2025 Streamline Your Annual Compliance & Save with Turnkey’s Discounted Review Bundles Turnkey Trading Partners offers discounted pricing for… Read More
NFA Supervision Branch and GIB Offices Jun 10, 2019 Starting in June, NFA will now require firms to put in place a due diligence review process for each branch office, guaranteed IB and their personnel. NFA has also stated that an effective oversight program of branch offices and guaranteed IBs also includes written supervisory policies and procedures describing a Member’s process for performing routine surveillance and supervision, as well as annual inspections that are documented through a written report.