1. During the course of an NFA audit, when an item is noted in the audit report, how is that viewed internally by NFA? This depends on a number of factors. The purpose of examinations is to review compliance with NFA rules and CFTC regulations. NFA’s philosophy has always been to provide education and direction…...
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Ask the NFA
- Post published:February 25, 2016
- Post category:Compliance / Legal