Common NFA Audit Deficiencies: Summer 2024 Edition Jul 31, 2024 Turnkey periodically shares common audit deficiencies observed in National Futures Association (“NFA”) exams. Typically supporting 10 to 15… Read More
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