CFTC and NFA Compliance: Covid’s “New Audit Normal” Jul 30, 2020 Previously NFA member firms had their annual reviews conducted on-site and in-person, Covid-19 has changed all of that. For the foreseeable future all outside office reviews, including those of FCMs, IBs, GIBs, CTAs, and CPOs will be conducted remotely via a virtual meeting of some type.
New NFA Self-Exam; Subtle Changes… BIG Implications Jun 29, 2020 Periodically, NFA updates the Self-Exam Questionnaire, which most recently occurred June 2, 2020. When these updates are made NFA has the expectation that firms will use the most current version of the Questionnaire.
Turnkey Trading Partners – Best CFTC/NFA Compliance Firm 2020 May 28, 2020 In May of 2020, International Investor Magazine published the winners of their Spring 2020 Awards. Turnkey Trading Partners was named “Best Global Regulatory & Compliance Firm”. We as a staff are humbled and honored to receive such a high distinction. We owe this award to the tireless dedication we have to our clients in helping them navigate the difficult and ever-changing global regulatory landscape.