NFA adopts Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

NFA adopts Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System

NFA recently adopted an Interpretive Notice entitled NFA Compliance Rule 2-9: CPO Internal Controls System (Interpretive Notice). The Interpretive Notice requires commodity pool operator (CPO) Members, which have the ability to control customer funds, to implement an internal controls framework designed to: Protect customer funds; and Provide reasonable assurance that the books and records of…...

The full article is available to active NIBA members only.


Please login or sign up to read the rest.
Log In Register
Close Menu