Compliance / Legal

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…

FINANCIAL CRIMES ENFORCEMENT NETWORK Customer Due Diligence Requirements for Financial Institutions Finalized On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued its final rules under the Bank Secrecy…

CME Group’s Regulatory Outreach Program provides market participants with the information and resources necessary to meet their compliance needs. Our goal is to work with market participants proactively to ensure…

In light of the almost daily news about cybersecurity breaches, including at financial institutions, and the significant threat and damage these breaches could cause to NFA's Member firms, customers, and…

Attaining a Viable Cyber Security Program at a Reasonable Price; is it Possible? We’ve all heard about the hacks at Sony, Target, and even the U.S. Government. Fortune 500 companies…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…

How or when to select or change a fund audit firm for your hedge fund, CTA or other alternative investment business can seem like a daunting decision for any fund…

Whether you are running a hedge fund, Introducing Broker, CTA, or CPO you are required to spend most of your time managing your investors, investments, and returns. In our regulated…

Our industry has certainly transformed over the past decade. Much of this transformation stems from new rules and regulations, some of which are aimed at addressing the use of technology…

As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…