Holidays Bear Gifts of More Regulations
The closure of the government for several weeks did not stop the progress on new rules being discussed and implemented by the CFTC. As the IBs focus on building his/her…
MF Global Trustee’s Advance of General Estate Assets to Make Customers Whole May Speed Distributions to Introducing Brokers
The MF Global trustee has received court approval to advance more than $600 million of general estate assets to customers to allow 100% distributions to all customers. As a result,…
New Recording Requirements; Compliance Deadline: December 21, 2013
A new oral communications recordkeeping requirement was one of the key topics discussed at the 2013 NIBA Conference in Chicago on September 18, 2013. Covered registrants must comply by December…
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…
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