Broker Dealer Certified Audit Due Date and Compliance Checklist
Broker Dealers must submit an annual independent certified audit to both FINRA, the SEC, and SIPC (if applicable). These annual […]
Commodity Trading Advisor Compliance Checklist
A Commodity Trading Advisor is required to meet all compliance regulations on an annual basis along with quarterly reporting. Below […]
Futures Commission Merchants – Audit Due Date and Compliance…
Futures Commission Merchants are required to submit an annual certified audit performed by an independent accountant to the NFA. The […]
Registered Investment Advisers–SEC Custody Exam Requirements
Registered Investment Advisers who have custody of their clients’ funds or securities must safeguard those funds as required by the […]
Independent Introducing Broker and FCM Annual AML Audit Reminder
On an annual basis, Independent Introducing Brokers and Futures Commission Merchants are required to have an independent review of their […]
CFTC Holds Liquidity Stress Tests on Various Exchanges
The CFTC held liquidity stress tests on CME Clearing, ICE Clear U.S., and LCH, Ltd. clearinghouses and here are its […]
NFA’s Executive Committee Recommends Increase to NFA’s Assessment Fee
On October 19, NFA’s Executive Committee voted to recommend to NFA’s Board of Directors (Board) an increase in NFA’s assessment […]
Independent Introducing Broker – Compliance Checklist and Certified Audit…
Independent Introducing Brokers are required to submit an annual certified audit to the National Futures association. The due date depends […]
Commodity Pool and Hedge Fund Audit Due Date and…
Non-exempt Commodity Pools must submit a certified audit on an annual basis to the National Futures Association. The audit must […]