Compliance / Legal

Each year the CFTC publishes an agency financial report which provides data on financial and performance, operations management and information on the CFTC.  This is the 14th annual report that…

The recently enacted Tax Cuts and Jobs Act (TCJA) has made several changes to the tax law. Below we have summarized some of the changes we feel may affect some…

An Introduction for Introducing Brokers Security matters, and the NFA and other financial regulators are pushing to help market participants appropriately protect their customers and themselves against cyber threats which…

The beginning of a new year is typically when Commodity Futures Trading Commission (“CFTC”) registered, National Futures Association (“NFA”) member firms are most focused on growing their book of business.…

The Commodity Futures Trading Commission (CFTC) and the Center for Risk Management Education and Research (CRMER) at Kansas State University will host AgCon2019, the 2nd annual agricultural commodity futures conference…

Due to the significant growth of the virtual currency market, the NFA has proposed an interpretive notice to the CFTC invoking the “ten-day” provision and will make it effective 10…

New and evolving technologies such as artificial intelligence, predictive analytics, machine learning and robotic process automation are now an everyday reality. Similarly, use of the Cloud and third-party systems have…

This month NFA put out a fantastic reminder about common CTA/CPO ratio errors and the obligations facing reporting firms. In particular they have laid out their expectations for CTA and…

Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced today that the CFTC will hold an open meeting on Monday, November 5, 2018 at 10:00 a.m.…

The Complete IB Handbook – 2018 Edition Now Available Updated annually, The Complete IB Handbook is a comprehensive resource for prospective and current introducing brokers (IBs). This guide, written by…