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Compliance / Legal

Read more about the article Update NFA Annual Questionnaire regarding Virtual Currencies

Update NFA Annual Questionnaire regarding Virtual Currencies

  • Post published:March 29, 2018
  • Post category:Compliance / Legal

On December 14, 2017, NFA issued Notices I-17-28 and I-17-29 requiring commodity pool operators (CPO) and commodity trading advisors (CTA) that execute transactions involving virtual currencies or virtual currency derivatives and introducing brokers (IB)…

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Read more about the article Ask NFA – Feb 2018
Portrait Of Business People Working Together In Office

Ask NFA – Feb 2018

  • Post published:February 22, 2018
  • Post category: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…

Continue ReadingAsk NFA – Feb 2018
Read more about the article NFA Annual Members Meeting

NFA Annual Members Meeting

  • Post published:February 8, 2018
  • Post category:Compliance / Legal

On Tuesday, February 6, the NFA held its annual members meeting. For the umpteenth year in a row, I was the only NFA member attending. I attended in order to…

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Read more about the article Can you Firm Benefit from the New Tax Laws?

Can you Firm Benefit from the New Tax Laws?

  • Post published:January 24, 2018
  • Post category:Compliance / Legal

Michael Coglianese will be presenting this topic in an online presentation which will be made available to NIBA members.  This effort is being co sponsored by the NIBA and John…

Continue ReadingCan you Firm Benefit from the New Tax Laws?
Read more about the article 5 Things to Know When starting a Cryptocurrency Fund

5 Things to Know When starting a Cryptocurrency Fund

  • Post published:January 24, 2018
  • Post category:Compliance / Legal

The cryptocurrency asset class is here to stay and growing at warp speed. The stories are real.  Some cryptocurrency traders have turned $100,000 into $1,000,000 in less than a year.…

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Read more about the article Ask NFA – November 2017
Portrait Of Business People Working Together In Office

Ask NFA – November 2017

  • Post published:November 29, 2017
  • Post category: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…

Continue ReadingAsk NFA – November 2017
Read more about the article Housekeeping, Reminders and Updates – October 2017

Housekeeping, Reminders and Updates – October 2017

  • Post published:October 26, 2017
  • Post category:Compliance / Legal

Written by: Mark E. Ruddy, Esq. Maria Fielding   Increase in National Futures Association (“NFA”) Assessment Fee The NFA’s Executive Committee is recommending an increase in the NFA’s assessment fee…

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Read more about the article NIBA Comment Letter – CFTC Project KISS

NIBA Comment Letter – CFTC Project KISS

  • Post published:October 26, 2017
  • Post category:Compliance / Legal

NIBA - The Association for Derivatives Professionals 55 W. Monroe, Ste. 3600 Chicago, IL 60603 (312) 977-0598 www.theniba.com BY ELECTRONIC SUBMISSION Christopher Kirkpatrick, Secretary Commodity Futures Trading Commission 1155 21st…

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Read more about the article Compliance Supervisors International Welcomes John Brand

Compliance Supervisors International Welcomes John Brand

  • Post published:October 26, 2017
  • Post category:Compliance / Legal

Compliance Supervisors International Inc. (“CSI”), is excited to welcome John Brand to lead our Chicago Compliance Division. John is an excellent addition to CSI, and we look forward to leveraging…

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Read more about the article Ask NFA: October 2017
Portrait Of Business People Working Together In Office

Ask NFA: October 2017

  • Post published:September 28, 2017
  • Post category: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…

Continue ReadingAsk NFA: October 2017
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