Five Ideas of CTA Due Diligence Part 2
In Part 1 of the article Five Ideas of CTA Due Diligence, we discussed several foundational concepts to keep in mind when applying a research due diligence process to a…
Advice for Brokers Selling CTAs
1. Don’t sell anything, ever, that doesn’t have an audited Track Record. If you are selling unaudited investment managers, you are selling fantasy. 2. Don’t sell anything you don’t understand.…
Takeaways from the Due Diligence for IBs using CTA Programs Panel
The recent NIBA Conference panel Due Diligence for IBs using CTA Programs proved to be a lively discussion with strong input from the conference participants, which included both CTAs and…
CFTC suit against U.S. Bank over Peregrine to move forward
A federal judge rejected U.S. Bank's motion to dismiss a lawsuit that accused the bank of letting Peregrine Financial founder Russell Wasendorf Sr secure loans against money that belonged to…
Judge lets MF Global pay what it owes commodity customers
U.S. Bankruptcy Judge Martin Glenn has given MF Global Holdings the green light to pay commodity customers all of the money they are owed. "I don't know of anyone who…
NIBA September Fall Membership Conference
Dear Members, “The AML session was the best I’ve ever attended...” “Loved the CTA Due Diligence session...” “Legal Update is always my favorite part of the NIBA…
AML Discussion at the 2013 NIBA Conference
The NIBA conference held in Chicago last month offered a wide variety of informational sessions applicable to Introducing Brokers’ business. My compliments to Melinda Schramm and the NIBA board for…
AML Guidance for IBs Regarding Unusual Situations
CFTC, FinCEN and Treasury have provided guidance in a Q&A format regarding certain unique circumstances relating to IBs and the Customer Identification Program (CIP). These include: New Co-Owner of Account:…
Futures Market Education and The Equity World
As the retail futures industry navigates the equity world, it’s important for everyone within the industry to focus on educating their clients and prospects about futures trading. We know that…
Fed Likely to Postpone QE Tapering Decision Into 2014
The Federal Reserve is likely to postpone any decision on exiting or tapering its quantitative easing program until 2014. Current members of the FOMC are hyper-sensitive to economic data, especially…
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