NIBA – Get to Know the Regulator
U.S. Commodity Futures Trading Commission Division of Clearing and Risk Who is in charge of the Division of Clearing and Risk: DCR is run by a Director, who is assisted…
U.S. Commodity Futures Trading Commission Division of Clearing and Risk Who is in charge of the Division of Clearing and Risk: DCR is run by a Director, who is assisted…
The headlines in today’s paper should read: “The Wild West is back! Stick ups and heists at an all-time high!” Only today the villain is not riding up to a…
Since 2012, the number of CPOs, CTAs, and IBs required to register with NFA has seen a dramatic increase. With this increase came a renewed commitment by regulators to not…
Michael Coglianese had the pleasure of moderating a Panel of experts at the NIBA Conference. Mike was impressed by the answers as well as the insight of the questions from…
Revised Answer to Question 1 of the August 2015 Ask the NFA Article: Selecting and Recommending CTAs- A Recommending CTAs- A Recommending CTA is one who recommends various trading advisors…
NATIONAL FUTURES ASSOCIATION Effective Date of New Requirements for Forex Dealer Members (“FDMs”) The NFA announced the effective date of the new capital and compliance requirements for FDMs after the…
The reporting deadline under the CFTC’s Ownership and Control Reporting (“OCR”) rules is September 30, 2015. Although these rules became effective in February 2015, the CFTC granted firms an extension…
Introducing Broker and CTA/CPO representatives on the NFA Board of Directors will present their annual report to NIBA members on September 24 during our Annual Members Meeting. The following representatives…
FINANCIAL CRIMES ENFORCEMENT NETWORK In an August 25, 2015, press release, the Financial Crimes Enforcement Network (“FinCEN”) announced proposed anti-money laundering (“AML”) regulations for investment advisers. FinCEN has published a…
NIBA will be featuring a recurring article in its monthly newsletter to membership with a focus on FCM Risk Management. The article will feature a different Member FCM each month…