As you are well aware, the number and sophistication of malicious cyber threat incidents in the financial sector has increased dramatically over the past five years and is expected to continue to grow. Robert DeMuria of Compliance Supervisors, Inc. will bring you up to speed on very important ISSP requirements, what are NFA requirements to monitor and review the effectiveness.
Whether you’re an IB or a CTA, selling retail trading, institutional execution, or managed futures – marketing starts with a process. From creating leads, recording lead and sales notes, to ongoing lead management, Shane Stiles of financial marketing and technology firm Gate 39 Media walks through defining a marketing process and options for managing your leads and marketing activities. Download.
By Matthew Kluchenek and Michael Sefton It’s no secret that disruptive trading practices are a key concern of market regulators. Spoofing and other disruptive trading practices have garnered attention in recent years and traders and advisers have had to learn quickly the ropes on permissible trading practices. Now, it appears that FCMs (and possibly IBs) may have additional obligations as.
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 those regulations and compliance requirements without having to call NFA directly. Just email us at [email protected] and we will get the answers for you. Please keep in mind the purpose.
Written by: Mark E. Ruddy, Esq. & Jessica I. Brown, CAMS NATIONAL FUTURES ASSOCIATION Financial Reporting Requirements of Commodity Pool Operators The Commodity Futures Trading Commission (“CFTC”) amended certain items of Part 4 regulations applicable to commodity pool operators (“CPOs”) and their financial reporting requirements. As per the amendments, CFTC regulations now permit the following: The use, in certain circumstances, of.
Whether you are a single fund manager or an advisor with 10-100 agents, you’re under pressure to meet ever-changing compliance requirements while running and growing your business. No small task. However, there are plenty of technology solutions available to help you succeed. A CRM enables you to manage prospect and client relationships—and the data associated with these contacts—from one central.
President Donald J. Trump announced his intent to nominate a number of key administration officials. This announcement included nomination for Chairman of the CFTC. Below is from the White House Office of the Press Secretary: J. Christopher Giancarlo of New Jersey will serve as Chairman of the Commodity Futures Trading Commission. Mr. Giancarlo was confirmed to be a Commissioner at.
Financial technology marketers are steadily improving at creating awareness-stage marketing content. Many who were once verbose and blustery are now producing more customer-centric thought leadership. The white papers, blogs and articles they produce today provide substantially more value to the audience and are doing a better job of attracting leads into the funnel. However, fin-tech marketers’ ability to convert those.
“I don’t mind going back to daylight saving time. With inflation, the hour will be the only thing I’ve saved all year.” Victor Borge, 1909-2000 Victor Borge was an Danish and American comedian, conductor and pianist, popular on radio and television in Europe and the United States. He was often referred to as “The Clown Prince of Denmark.” I am.
SoCal Conference Summary On February 23rd the NIBA held its first conference of 2017 in Newport Beach, California. Promoted as being held in “toasty” southern California many attendees from the Chicago area commented that the weather they left back in the windy city was actually quite a bit warmer! In spite of the unseasonably cool 61° the conference was a.