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Compliance / Legal

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Read more about the article Regulatory Update – NFA Bylaw 1101

Regulatory Update – NFA Bylaw 1101

  • Post published:February 9, 2023
  • Post category:Compliance / Legal

NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on recent regulatory developments concerning introducing brokers. Introducing Brokers, Commodity Trading Advisors and Commodity Pool Operators have long had…

Continue ReadingRegulatory Update – NFA Bylaw 1101
Read more about the article NFA Member Responsibilities for Third Party (Vendor) Risk Management

NFA Member Responsibilities for Third Party (Vendor) Risk Management

  • Post published:December 9, 2022
  • Post category:Compliance / Legal

One of the top priorities for any business is to protect its systems and data from cyber security threats. Many security attacks come through vendors which have access to critical…

Continue ReadingNFA Member Responsibilities for Third Party (Vendor) Risk Management
Read more about the article CFTC Enforcement Action Update

CFTC Enforcement Action Update

  • Post published:November 3, 2022
  • Post category:Compliance / Legal

NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on select recent CFTC enforcement actions concerning introducing brokers. CTAX Partners – Too Close for Comfort This case serves…

Continue ReadingCFTC Enforcement Action Update
Read more about the article CFTC Considering Whether to Allow Investors to Wager on U.S. Elections

CFTC Considering Whether to Allow Investors to Wager on U.S. Elections

  • Post published:October 21, 2022
  • Post category:Compliance / Legal

Written by: Matthew Kluchenek, Partner, Mayer Brown LLP; Matthew Bisanz, Partner, Mayer Brown LLP; Anna Easter, Associate, Mayer Brown LLP Last month, the Commodity Futures Trading Commission (“CFTC”), the regulator…

Continue ReadingCFTC Considering Whether to Allow Investors to Wager on U.S. Elections
Read more about the article Enforcement Action Break Down

Enforcement Action Break Down

  • Post published:September 29, 2022
  • Post category:Compliance / Legal

NIBA Service Provider Member, Ballard Spahr provides their insights on select recent CFTC enforcement actions. EOX Holdings LLC EOX Holdings LLC is an introducing broker who was recently found by…

Continue ReadingEnforcement Action Break Down
Read more about the article Expanded CFTC Enforcement Under Rule 180.1

Expanded CFTC Enforcement Under Rule 180.1

  • Post published:April 27, 2022
  • Post category:Compliance / Legal

In the last few years, CFTC has used CFTC Rule 180.1 to pursue claims as frequently, if not with greater frequency, than claims brought under traditional fraud provisions such as…

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Read more about the article NFA and NIBA announce joint webinar: Supervision in a Hybrid Environment

NFA and NIBA announce joint webinar: Supervision in a Hybrid Environment

  • Post published:November 23, 2021
  • Post category:Compliance / Legal

On Tuesday, December 7, 2021 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the NIBA will hold a webinar discussing NFA supervision requirements as they pertain to hybrid and remote…

Continue ReadingNFA and NIBA announce joint webinar: Supervision in a Hybrid Environment
Read more about the article NFA and the NIBA joint webinar: Navigating Regulatory Requirements in a Hybrid Environment

NFA and the NIBA joint webinar: Navigating Regulatory Requirements in a Hybrid Environment

  • Post published:October 21, 2021
  • Post category:Compliance / Legal

On Thursday, September 23, NFA and the National Introducing Brokers Association (NIBA) held a webinar that discussed recent regulatory developments in relation to current hybrid and remote work environments. During…

Continue ReadingNFA and the NIBA joint webinar: Navigating Regulatory Requirements in a Hybrid Environment
Read more about the article NFA & NIBA Joint Webinar: Navigating Regulatory Requirements in a Hybrid Environment

NFA & NIBA Joint Webinar: Navigating Regulatory Requirements in a Hybrid Environment

  • Post published:September 10, 2021
  • Post category:Compliance / Legal

On Thursday, September 23 at 3:30 p.m. CT/4:30 p.m. ET, NFA and the National Introducing Brokers Association (NIBA) will hold a webinar discussing recent regulatory developments in relation to current…

Continue ReadingNFA & NIBA Joint Webinar: Navigating Regulatory Requirements in a Hybrid Environment
Read more about the article NFA to hold Member Town Hall webinar on April 20

NFA to hold Member Town Hall webinar on April 20

  • Post published:April 9, 2021
  • Post category:Compliance / Legal

To provide Members with an opportunity to ask questions of NFA's leadership, NFA will conduct a Town Hall webinar on Tuesday, April 20, 2021, at 9:30 a.m. CT/10:30 a.m. ET.…

Continue ReadingNFA to hold Member Town Hall webinar on April 20
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