CFTC Wants Info on Crypto-Market In December, the CFTC put out a request of information “asking for public feedback on a range of questions related to the underlying technology, opportunities, risks, mechanics, use cases, and markets, related to Ether and…
Events & News
NFA Amends Cybersecurity Programs
Beefing Up Cybersecurity On Jan. 7, 2019 the NFA issued an amendment to the Information Systems Security Programs notice that originally came out March 2016, which requires all member firms to have a written ISSP to address the risk of…
Upcoming Regulatory Workshops for CPOs, CTAs, FCMs, FDMs, and IBs
The NFA will be hosting two regulatory workshops specifically for Commodity Pool Operators, Commodity Trading Advisors, Introducing Brokers, Futures Commission Merchants, and Forex Dealer members. One will be on February 25th in Chicago and the other in New York on…
Commodity Pool Operators Internal Controls System: NFA Compliance Rule 2-9
Effective April 1, 2019 all Commodity Pool Operators having the ability to control customer funds must adopt and implement an internal controls framework. The internal controls must be designed to protect customer funds, provide reasonable assurance that the books and…