In anticipation of the withdrawal of the UK and Northern Ireland from the European Union, the CFTC’s DSIO, announced they will grant no-action relief to provide greater certainty to the global marketplace due to the heightened market uncertainty. To bring…
News
NFA Compliance: Commodity Pool Operator Deadline
In January of this year, the NFA adopted an interpretive Notice regarding Internal Control Systems for Commodity Pool Operators (Rule 2-9) Commodity Pool Operators (CPO) Members who have the ability to control customer funds must implement an internal controls framework…
5 Simple Tips to Maximize Your Morning
Even if you consider yourself a morning person, we can all agree mornings come far sooner than we’d like. That said, your morning will define the rest of your day, hence the phrase “woke up on the wrong side of…
Introducing Broker Annual Requirements & Deadlines
Below is a summary of just some of the important requirements for Introducing Brokers. Note this does not reflect all IB responsibilities: Cybersecurity (ISSP). On an annual basis, the information systems security program must be reviewed and updated. NFA/CFTC updates…