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Compliance / Legal

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Read more about the article CFTC and K-State to Host 2nd Agricultural Commodity Futures Conference

CFTC and K-State to Host 2nd Agricultural Commodity Futures Conference

  • Post published:November 27, 2018
  • Post category:Compliance / Legal

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…

Continue ReadingCFTC and K-State to Host 2nd Agricultural Commodity Futures Conference
Read more about the article Reminder: New Virtual Currency Disclosure Requirements

Reminder: New Virtual Currency Disclosure Requirements

  • Post published:November 27, 2018
  • Post category:Compliance / Legal

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…

Continue ReadingReminder: New Virtual Currency Disclosure Requirements
Read more about the article 5th Annual Cyber Risk Conference at DePaul University

5th Annual Cyber Risk Conference at DePaul University

  • Post published:November 15, 2018
  • Post category:Compliance / Legal

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…

Continue Reading5th Annual Cyber Risk Conference at DePaul University
Read more about the article CTA/CPO Ratio Errors; NFA PQR and PR Filings

CTA/CPO Ratio Errors; NFA PQR and PR Filings

  • Post published:October 25, 2018
  • Post category:Compliance / Legal

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…

Continue ReadingCTA/CPO Ratio Errors; NFA PQR and PR Filings
Read more about the article CFTC to Hold Open Commission Meeting 11/5

CFTC to Hold Open Commission Meeting 11/5

  • Post published:October 25, 2018
  • Post category:Compliance / Legal

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.…

Continue ReadingCFTC to Hold Open Commission Meeting 11/5
Read more about the article 2018 IB Handbook

2018 IB Handbook

  • Post published:September 27, 2018
  • Post category:Compliance / Legal

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…

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Read more about the article Conference Session Preview – Compliance
Portrait Of Business People Working Together In Office

Conference Session Preview – Compliance

  • Post published:August 30, 2018
  • Post category:Compliance / Legal

Have you attended compliance sessions in the past that have not quite addressed your concerns or perhaps hit topics that were interesting but not relevant to your firm?  This year…

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Read more about the article NFA Promotional Material Filing

NFA Promotional Material Filing

  • Post published:August 30, 2018
  • Post category:Compliance / Legal

On Tuesday, August 14, 2018, NFA launched a new Promotional Material Filing System. The new system provides firms the ability to seamlessly track their promotional material submissions throughout the entire…

Continue ReadingNFA Promotional Material Filing

CME Advisory Notice

  • Post published:July 26, 2018
  • Post category:Compliance / Legal

CME Group MRAN 536: Documentation of Customer Orders and Submission of Suspense Accounts on CME Globex Effective on October 1, 2018, and pending all relevant CFTC regulatory review periods, this Market…

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Read more about the article July Housekeeping, Reminders & Updates

July Housekeeping, Reminders & Updates

  • Post published:July 26, 2018
  • Post category:Compliance / Legal

Written by:   Mark E. Ruddy, Esq. Maria Fielding National Futures Association (“NFA”) Proposes Virtual Currency Activities Disclosure Requirements NFA submitted an Interpretive Notice to the Commodity Futures Trading Commission (“CFTC”)…

Continue ReadingJuly Housekeeping, Reminders & Updates
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