IBs find increased regulatory obligations with introduction of new rule amendments

Patricia Cushing Associate Director, Compliance, National Futures Association The recent amendments to NFA’s Compliance Rule 2-30 (often referred to as the “Know Your Customer” rule), the proposed changes to CFTC Regulations 4.5 and 4.13 and the increasing demands of supervising the use of social media are all contributing to an increase in an IB’s regulatory…...

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