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Housekeeping

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Read more about the article Housekeeping, Reminders & Updates – Feb 2018

Housekeeping, Reminders & Updates – Feb 2018

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

Written by: Mark E. Ruddy, Esq. Maria Fielding The National Futures Association (“NFA”) Adds Additional Questions on the Annual Financial Statement The NFA announced that as of October 31, 2017,…

Continue ReadingHousekeeping, Reminders & Updates – Feb 2018
Read more about the article Housekeeping, Reminders & Updates – November 2017

Housekeeping, Reminders & Updates – November 2017

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

Written by: Mark E. Ruddy, Esq. Maria Fielding The National Futures Association (“NFA”) Requests Nominations for the NFA’s Board of Directors (“Board”) The NFA is reaching out to both NFA…

Continue ReadingHousekeeping, Reminders & Updates – November 2017
Read more about the article Housekeeping, Reminders and Updates – April 2017

Housekeeping, Reminders and Updates – April 2017

  • Post published:April 26, 2017
  • Post category:Housekeeping

 Written by:    Mark E. Ruddy, Esq. Jessica I. Brown, CAMS FINANCIAL CRIMES ENFORCEMENT NETWORK Update to FATF List of Jurisdictions with AML/CFT Deficiencies On April 5, 2017, the Financial Crimes…

Continue ReadingHousekeeping, Reminders and Updates – April 2017
Read more about the article Housekeeping, Reminders & Updates February 2017

Housekeeping, Reminders & Updates February 2017

  • Post published:February 28, 2017
  • Post category:Housekeeping

NATIONAL FUTURES ASSOCIATION December 31, 2016 NFA Form PQR The National Futures Association (“NFA”) emailed a reminder to commodity pool operators (“CPOs”) regarding quarterly reports and possible late fees. The…

Continue ReadingHousekeeping, Reminders & Updates February 2017
Read more about the article Housekeeping, Reminders & Updates – January 2017

Housekeeping, Reminders & Updates – January 2017

  • Post published:January 26, 2017
  • Post category:Housekeeping

Financial Crimes Enforcement Network Advisory on FATF List of Jurisdiction with AML/CFT Deficiencies On January 19, 2017, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory announcing that the Financial…

Continue ReadingHousekeeping, Reminders & Updates – January 2017
Read more about the article December 2016 Housekeeping, Reminders and Updates

December 2016 Housekeeping, Reminders and Updates

  • Post published:December 15, 2016
  • Post category:Housekeeping

COMMODITY FUTURES TRADING COMMISSION Inter-Affiliate Swaps Transactions No-Action Extension The Commodity Futures Trading Commission (“CFTC”) announced the extension of relief outlined in Letter 15-62 and Letter 16-81 until December 31,…

Continue ReadingDecember 2016 Housekeeping, Reminders and Updates
Read more about the article Housekeeping, Reminders and Updates–November 2016

Housekeeping, Reminders and Updates–November 2016

  • Post published:November 29, 2016
  • Post category:Housekeeping

COMMODITY FUTURES TRADING COMMISSION Filing Period for CCO Annual Reports Extension The Commodity Futures Trading Commission (“CFTC”) announced the unanimous approval to modify CFTC Regulation 3.3. Until now, Regulation 3.3…

Continue ReadingHousekeeping, Reminders and Updates–November 2016
Read more about the article Housekeeping, Reminders and Updates October 2016

Housekeeping, Reminders and Updates October 2016

  • Post published:October 26, 2016
  • Post category:Housekeeping

  COMMODITY FUTURES TRADING COMMISSION Swap Dealer Registration De Minimis Exception In a press release issued October 13, 2016 (Release: PR7471-16) the Commodity Futures Trading Commission (“CFTC”) announced the approval…

Continue ReadingHousekeeping, Reminders and Updates October 2016
Read more about the article Housekeeping, Reminders and Updates — September 2016

Housekeeping, Reminders and Updates — September 2016

  • Post published:September 29, 2016
  • Post category:Housekeeping

Financial Crimes Enforcement Network Advisory on FATF List of Jurisdiction with AML/CFT Deficiencies On September 7, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory announcing that the Financial…

Continue ReadingHousekeeping, Reminders and Updates — September 2016
Read more about the article Housekeeping, Reminders, and Updates
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Housekeeping, Reminders, and Updates

  • Post published:August 24, 2016
  • Post category:Housekeeping

Mark E. Ruddy, Esq. and Elizabeth A. Cannon August 24, 2016 NATIONAL FUTURES ASSOCIATION   NFA Updates Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs   On August 15,…

Continue ReadingHousekeeping, Reminders, and Updates
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