NIBA Compliance Officers Group Letter
To All Derivatives Compliance Officers: NIBA is excited to announce the formation of a new working group specifically focused on the concerns of compliance officers in the derivatives industry. The…
CTA Connection Sponsored Content: Working with the IASG Database
While industry veterans in the futures space understand the value of CTAs in a portfolio, hedge fund assets under management dwarf those AUM totals by over thirteen times. To explain…
Regulatory Update – NFA Bylaw 1101
NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on recent regulatory developments concerning introducing brokers. Introducing Brokers, Commodity Trading Advisors and Commodity Pool Operators have long had…
5 Strategies To Grow Your Financial Services Business Using Digital Marketing
Highlights Ad spending in the Digital Advertising market is projected to reach US$616.00bn in 2022. The market's largest segment is Search Advertising with a market volume of US$260.00bn in 2022.…
NFA Member Responsibilities for Third Party (Vendor) Risk Management
One of the top priorities for any business is to protect its systems and data from cyber security threats. Many security attacks come through vendors which have access to critical…
Businesses must evolve to meet challenges and uncertainties ahead
Economic Disruptors Will Continue: Crucial Actions Needed to Minimize Risks Freight disruptions, foreign conflicts, and government policy – while we cannot know the impacts with certainty, we do know they…
CFTC Enforcement Action Update
NIBA Service Provider Member, Scott Diamond of Ballard Spahr provides insights on select recent CFTC enforcement actions concerning introducing brokers. CTAX Partners – Too Close for Comfort This case serves…
CFTC Considering Whether to Allow Investors to Wager on U.S. Elections
Written by: Matthew Kluchenek, Partner, Mayer Brown LLP; Matthew Bisanz, Partner, Mayer Brown LLP; Anna Easter, Associate, Mayer Brown LLP Last month, the Commodity Futures Trading Commission (“CFTC”), the regulator…
Enforcement Action Break Down
NIBA Service Provider Member, Ballard Spahr provides their insights on select recent CFTC enforcement actions. EOX Holdings LLC EOX Holdings LLC is an introducing broker who was recently found by…
NIBA/DePaul 7th Annual Symposium – Session Summaries
NIBA is excited to be back in person and continue the annual Joint NIBA/DePaul Symposiums. Here we take a deeper dive into what will be discussed throughout the program. If…