Risk Metrics for FCMs That Do Swaps
NFA Financial Requirements Section 17 requires swap dealers (SD) and major swap participants (MSP) to file the financial, operational, risk management […]
Dodd Frank Update
Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and […]
Compliance Reminders
Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every […]
Investment Advisor Custodial Agreements could mean “surprise exams” by…
When they say the devil is in the details, take it to heart; especially investment advisors who have separate custodial […]
FinCEN issues an advisory on AML/CFT deficiencies
On April 5, 2017, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force […]
President issues executive order regarding review of regulations
On April 21, 2017 the President signed an executive order requiring the Secretary of the Treasury to review all regulations […]
Did you File a Tax Return Extension? Note Your…
If you or your tax professional has filed an extension, please note the following deadlines for filing 2016 tax returns: Partnership […]
NIBA New York Conference – April 26th, 2017
The NIBA is proud to host its annual NYC conference at the classic New York Athletic Club this spring. The […]
Important Regulatory Deadlines
NFA Certified Audit Deadlines Introducing Brokers must file their annual certified audit no less than 90 days after fiscal […]